DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Gladstone Management Corporation

Other adviserMclean, VirginiaCRD 122482SEC 801-61440websiteIAPD
Latest filing Apr 2, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since Sep 13, 2002
RAUM
$4.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.4B
derived; firm RAUM over IAPD count
Employees
45
40 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.4B as of Apr 2, 2026
Sep 25, 2012$1.1B then
HNW client RAUM$0 as of Apr 2, 2026
Sep 24, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 2, 2026
Sep 25, 20120 then
Employees (5.A)45 as of Apr 2, 2026
Sep 26, 201345 then
Private funds: no history
RAUM +6.6% over the last fiscal year+3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$4.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$885MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
45.0derivedItem 5.A over advisors
Advisors per office
0.1derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+6.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 5.G
Custody
$2.4B, 2 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$22.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$2.4B for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.45 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Eric Drake MaloyDallas, Tx Oct 24, 201819 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Terry Brubaker · Director, Vice Chairman And Chief Operating Officercontrol
        since 06/2002 · owns less than 5%
      • Anthony John Dellafiora · Chief Compliance Officercontrol
        since 09/2007 · owns less than 5%
      • John David Gladstone · Chairman And Chief Executive Officercontrol
        since 06/2002 · owns less than 5%
      • Patricia Laura Gladstone · Directorcontrol
        since 05/2023 · owns less than 5%
      • Bernard Michael Licalsi · General Counselcontrol
        since 10/2009 · owns less than 5%
      • John Michael Malesardi · Chief Financial Officercontrol
        since 09/2018 · owns less than 5%
      • John David Gladstone · Shareholdercontrol
        since 06/2002 · owns 75% or more of The Gladstone Companies, Ltd
      Entity owners
      • The Gladstone Companies, Inc. · Shareholder
        direct · owns 75% or more
      • The Gladstone Companies, Ltd · Shareholder
        indirect · owns 75% or more of The Gladstone Companies, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Camarillo, CA2 employees
      • Dallas, TX1 employees
      • Brandon, FL1 employees
      • New York, NY1 employees
      • Salinas, CA1 employees
      • Tulsa, OK1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Sep 19, 2024 to Sep 23, 2025
      • Assets in custody · $2.4B to $2.4B
        Sep 19, 2024 to Sep 23, 2025
      • Financial planning clients · unset to
        Sep 19, 2024 to Sep 23, 2025
      • Discretionary RAUM · $4.2B to $4.4B
        Sep 19, 2024 to Sep 23, 2025
      • RAUM · $4.2B to $4.4B
        Sep 19, 2024 to Sep 23, 2025
      • Assets in custody · $2.6B to $2.4B
        Sep 25, 2023 to Sep 19, 2024
      • Other offices · 8 to 6
        Sep 25, 2023 to Sep 19, 2024
      • Discretionary RAUM · $4.2B to $4.2B
        Sep 25, 2023 to Sep 19, 2024
      • RAUM · $4.2B to $4.2B
        Sep 25, 2023 to Sep 19, 2024
      • Assets in custody · $2.6B to $2.6B
        Jun 1, 2023 to Sep 25, 2023
      • Discretionary RAUM · $4.0B to $4.2B
        Jun 1, 2023 to Sep 25, 2023
      • RAUM · $4.0B to $4.2B
        Jun 1, 2023 to Sep 25, 2023
      • Assets in custody · $2.3B to $2.6B
        Sep 23, 2021 to Sep 22, 2022
      • Other offices · 7 to 8
        Sep 23, 2021 to Sep 22, 2022
      • Discretionary RAUM · $3.6B to $4.0B
        Sep 23, 2021 to Sep 22, 2022
      • RAUM · $3.6B to $4.0B
        Sep 23, 2021 to Sep 22, 2022
      • Assets in custody · $1.9B to $2.3B
        Sep 17, 2020 to Sep 23, 2021
      • Other offices · 5 to 7
        Sep 17, 2020 to Sep 23, 2021
      • Discretionary RAUM · $3.0B to $3.6B
        Sep 17, 2020 to Sep 23, 2021
      • RAUM · $3.0B to $3.6B
        Sep 17, 2020 to Sep 23, 2021
      • Assets in custody · $1.6B to $1.9B
        Sep 17, 2019 to Sep 17, 2020
      • Other offices · 4 to 5
        Sep 17, 2019 to Sep 17, 2020
      • Discretionary RAUM · $2.7B to $3.0B
        Sep 17, 2019 to Sep 17, 2020
      • RAUM · $2.7B to $3.0B
        Sep 17, 2019 to Sep 17, 2020
      • Assets in custody · $1.4B to $1.6B
        Sep 24, 2018 to Sep 17, 2019
      • Other offices · 5 to 4
        Sep 24, 2018 to Sep 17, 2019
      • Discretionary RAUM · $2.5B to $2.7B
        Sep 24, 2018 to Sep 17, 2019
      • RAUM · $2.5B to $2.7B
        Sep 24, 2018 to Sep 17, 2019
      • BD registered reps · 15 to 10
        Sep 22, 2017 to Sep 24, 2018
      • Charity clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Corporate clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • HNW clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Individual clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Pension plan clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Assets in custody · $1.4B to $1.4B
        Sep 22, 2017 to Sep 24, 2018
      • Other offices · unset to 5.0
        Sep 22, 2017 to Sep 24, 2018
      • Discretionary RAUM · $2.2B to $2.5B
        Sep 22, 2017 to Sep 24, 2018
      • HNW RAUM · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      • Individual RAUM · unset to 0.0
        Sep 22, 2017 to Sep 24, 2018
      Signals
      2 dated events
      • Patricia Laura Gladstone (Director) appeared on Schedule A of Gladstone Management Corporation
        Jun 1, 2023 · Control person joined · fact
      • John Michael Malesardi (Chief Financial Officer) appeared on Schedule A of Gladstone Management Corporation
        Sep 17, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Firm profile
      LINKEDIN.COM/COMPANY/THE-GLADSTONE-COMPANIESreportedpublic record, Form ADV, Sep 17, 2026
      Website
      GLADSTONECOMPANIES.COMreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      703-287-5800reportedpublic record, Form ADV, Apr 2, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $4.4Bderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026