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
Kelleher Financial Advisors, LLC
Latest filing Apr 14, 2026
First filing on the tape Feb 27, 2012 · 47 filings
SEC status approved since Jun 9, 2003
RAUM
$1.2B
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
99%
$1.1B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$288M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$1.2B as of Apr 14, 2026
Feb 27, 2012$235M then
HNW client RAUM$1.1B as of Apr 14, 2026
Mar 29, 2018$268M then
State-registered IARs (5.B.3)2 as of Apr 14, 2026
Feb 27, 20120 then
Employees (5.A)13 as of Apr 14, 2026
Mar 25, 20137 then
Private funds1 as of Mar 31, 2022
Mar 27, 20141 then
RAUM +12% over the last fiscal year+35% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
- RAUM per advisor
- $288MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $417M, 128 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- High-net-worth individuals$1.1B97%
- Individuals$29.2M2.5%
- Pension and profit-sharing plans$5.6M0.5%
- Corporations and businesses$2.1M0.2%
- Individual clients
- 108reported
- HNW clients
- 171reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 749reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $417M for 128 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Colleen Patricia SorrentinoChartered Financial Analyst | New York, Ny | Oct 14, 2003 | 39 y | 1 |
| Neil Nicholas Cataldi | Portland, Me | Sep 12, 2012 | 21 y | 0 |
| David Gordon Rauch | New York, Ny | Dec 17, 2015 | 34 y | 4 |
| Barton Wall WeisenfluhCertified Financial Planner | New York, Ny | Oct 13, 2017 | 30 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- Nikola Goles to Fjaka Wealth Management LLCDec 19, 2025 · RIA to a state-registered adviser
- Alexei Felix Lee to William Blair & Company L.L.C.Jan 30, 2017 · Other
- Linda Hope Sutkin to William Blair & Company L.L.C.Jan 30, 2017 · Other
- William Blaine Smith to Gray Wolf Capital Management, LLCJun 21, 2016 · Other
- Jesse Nmn Lunin-Pack to Woodbury Financial Services, Inc.Jul 14, 2010 · Other
- Oscar B Cantu to Morgan StanleyJun 8, 2009 · Other
- Sean Joseph Gaffey to Banc Of America Investment Services, Inc.Oct 28, 2004 · Other
- Monica M Biskup to E*Trade Capital Management, LLCOct 28, 2004 · Other
- James William Graves to Morgan Stanley Investment Advisors Inc.Mar 3, 2004 · Other
Joined, latest
- Nikola Goles from Morgan StanleyApr 22, 2025 · Wirehouse to independent RIA
- Barton Wall Weisenfluh from Clearstead; Clearstead Advisory SolutionsOct 13, 2017 · Other
- David Gordon Rauch from Sam Advisors, LLCDec 17, 2015 · Other
- William Blaine Smith from Sam Advisors, LLCDec 10, 2015 · Other
- Linda Hope Sutkin from Carret Asset Management, LLCJan 7, 2010 · Other
- Oscar B Cantu from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 13, 2009 · Other
- Colleen Patricia Sorrentino from Ss&C Market Services, LLCOct 14, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for William Blair & Company L.L.C.Jan 30, 2017 · New York, Ny
- 2 joined from Sam Advisors, LLCDec 31, 2015 · New York, Ny
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Advanced Strategies II, LPno longer reported | Hedge Fund | $9.0M | 2 | Oct 11, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Leroy Arthur Goetchius · Chief Executive Officer/ Managercontrolsince 02/2006 · owns less than 5%
- Michael Sean Kelleher · President/ Managercontrolsince 11/2019 · owns less than 5%
- Kane William Lavin · Managercontrolsince 01/2022 · owns less than 5%
- Stanley Keith Marks · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- Anthony Michael Ouellette · President, Starboard Divisioncontrolsince 01/2022 · owns less than 5%
- Patricia Colleen Sorrentino · Chief Investment Officer/ Managercontrolsince 11/2000 · owns less than 5%
- Wall Barton Weisenfluh · Manager/ Chief Executive Officer, Starboard Divisioncontrolsince 01/2022 · owns less than 5%
- Michael Sean Kelleher · Beneficial Shareholdercontrolsince 04/2014 · owns 25% to 50% of Wall Street Access Ny Corporation
Entity owners
- Wall Street Access Ny · Memberdirect · owns 75% or more
- Wall Street Access Ny Corporation · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Wall Street Accessbroker-dealern
Advisers that list Kelleher Financial Advisors, LLC as a related person
- 168016 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 0 | 1 | ||
| Portland, Me | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portland, ME2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 14, 2026SORRENTINO, COLLEEN, PATRICIA (CHIEF INVESTMENT OFFICER/ MANAGER) left Schedule A between the filings of 2022-11-23 and 2026-04-14peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 14, 2026MARKS, KEITH, STANLEY (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-11-23 and 2026-04-14peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 648 to 749Jan 5, 2026 to Mar 16, 2026
- Advisory employees · 8 to 6Jan 5, 2026 to Mar 16, 2026
- BD registered reps · 6 to 2Jan 5, 2026 to Mar 16, 2026
- Corporate clients · 3 to 4Jan 5, 2026 to Mar 16, 2026
- HNW clients · 186 to 171Jan 5, 2026 to Mar 16, 2026
- Individual clients · 144 to 108Jan 5, 2026 to Mar 16, 2026
- Pension plan clients · 2 to 1Jan 5, 2026 to Mar 16, 2026
- Assets in custody · $316M to $417MJan 5, 2026 to Mar 16, 2026
- Employees · 16 to 13Jan 5, 2026 to Mar 16, 2026
- State-registered IARs · 4 to 2Jan 5, 2026 to Mar 16, 2026
- Discretionary RAUM · $622M to $632MJan 5, 2026 to Mar 16, 2026
- HNW RAUM · $974M to $1.1BJan 5, 2026 to Mar 16, 2026
- Individual RAUM · $35.9M to $29.2MJan 5, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $404M to $522MJan 5, 2026 to Mar 16, 2026
- Pension RAUM · $6.7M to $5.6MJan 5, 2026 to Mar 16, 2026
- RAUM · $1.0B to $1.2BJan 5, 2026 to Mar 16, 2026
- Accounts · 728 to 648Apr 8, 2024 to Apr 3, 2025
- Corporate clients · 6 to 3Apr 8, 2024 to Apr 3, 2025
- HNW clients · 104 to 186Apr 8, 2024 to Apr 3, 2025
- Individual clients · 164 to 144Apr 8, 2024 to Apr 3, 2025
- Pension plan clients · 8 to 2Apr 8, 2024 to Apr 3, 2025
- Assets in custody · $277M to $316MApr 8, 2024 to Apr 3, 2025
- Financial planning clients · 101-250 to 101-250Apr 8, 2024 to Apr 3, 2025
- Discretionary RAUM · $555M to $622MApr 8, 2024 to Apr 3, 2025
- HNW RAUM · $504M to $974MApr 8, 2024 to Apr 3, 2025
- Individual RAUM · $49.8M to $35.9MApr 8, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $18.7M to $404MApr 8, 2024 to Apr 3, 2025
- Pension RAUM · $5.6M to $6.7MApr 8, 2024 to Apr 3, 2025
- RAUM · $574M to $1.0BApr 8, 2024 to Apr 3, 2025
- Accounts · 736 to 728Jan 16, 2024 to Mar 28, 2024
- HNW clients · 111 to 104Jan 16, 2024 to Mar 28, 2024
- Individual clients · 167 to 164Jan 16, 2024 to Mar 28, 2024
- Pension plan clients · unset to 8.0Jan 16, 2024 to Mar 28, 2024
- Assets in custody · $270M to $277MJan 16, 2024 to Mar 28, 2024
- Employees · 14 to 16Jan 16, 2024 to Mar 28, 2024
- Discretionary RAUM · $471M to $555MJan 16, 2024 to Mar 28, 2024
- HNW RAUM · $409M to $504MJan 16, 2024 to Mar 28, 2024
- Individual RAUM · $58.9M to $49.8MJan 16, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $18.7MJan 16, 2024 to Mar 28, 2024
- Pension RAUM · $1.9M to $5.6MJan 16, 2024 to Mar 28, 2024
Signals
9 dated events
- Nikola Goles left Kelleher Financial Advisors, Llc for Fjaka Wealth Management Llc (registered 2026-07-07)Dec 19, 2025 · Advisor changed firm · fact
- Kelleher Financial Advisors, Llc reported RAUM $1.0B, up 79% from $573.6M (2024-04-08 to 2025-04-03)Apr 3, 2025 · RAUM change · derived
- Wall Barton Weisenfluh (Manager/ Chief Executive Officer, Starboard Division) appeared on Schedule A of Kelleher Financial Advisors, LlcNov 23, 2022 · Control person joined · fact
- Stanley Keith Marks (Chief Compliance Officer) appeared on Schedule A of Kelleher Financial Advisors, LlcNov 23, 2022 · Control person joined · fact
- Kane William Lavin (Manager) appeared on Schedule A of Kelleher Financial Advisors, LlcNov 23, 2022 · Control person joined · fact
- Anthony Michael Ouellette (President, Starboard Division) appeared on Schedule A of Kelleher Financial Advisors, LlcNov 23, 2022 · Control person joined · fact
- Dominic Gregory Viscovich (Chief Compliance Officer) no longer on Schedule A of Kelleher Financial Advisors, Llc (listed 2022-06-08, absent 2022-06-22)Jun 22, 2022 · Control person left · inference
- Michael Sean Kelleher (President) appeared on Schedule A of Kelleher Financial Advisors, LlcMar 25, 2020 · Control person joined · fact
- Patrick Denis Kelleher (Chairman) no longer on Schedule A of Kelleher Financial Advisors, Llc (listed 2019-03-29, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Kelleher Financial Advisors, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@kf-advisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-232-5685reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/kelleherfinancialadvisors/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- KF-Advisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-709-9400reportedpublic record, Form ADV, Apr 14, 2026
- Contact form
- kf-advisors.com/company/contactreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $288Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026