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.
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Former SEC-registered adviser
R••• A•••••••• L••
Latest filing Oct 2, 2020
First filing on the tape Mar 29, 2012 · 28 filings
RAUM
$530M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$513M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$530M as of Mar 30, 2020
Mar 29, 2012$213M then
HNW client RAUM$382M as of Mar 30, 2020
Mar 30, 2018$268M then
State-registered IARs (5.B.3)9 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)14 as of Mar 30, 2020
Mar 27, 201312 then
Private funds: no history
RAUM +29% over the last fiscal year+15% a year over threeIARs 9 to 9offices 2 to 1
Practice profile
derived from the filing of Oct 2, 2020; every figure names its basis
- RAUM per advisor
- $58.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $312,593derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- Wrap fee program
- $492MreportedItem 5.I
- Custody
- $146M, 347 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
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M72%
- Individuals$131M25%
- Pension and profit-sharing plans$17.2M3.2%
- Individual clients
- 486reported
- HNW clients
- 137reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 1,696reported
- Financial planning clients
- 600reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $146M for 347 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D••••• C•••••• M••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- A•••••• R••••• A•••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- D•••• P•••• D••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- G••••• J••••• K••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- P•••••• M•••••• D•••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- D•••••• S••••• K••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 2, 2021 · RIA to affiliated broker-dealer or bank
- L••••• A••• H•• to W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2021 · RIA to affiliated broker-dealer or bank
- R••••• J••• W•••• to M••••• A•••••••Jan 5, 2021 · RIA to RIA
- D••••• L• G••••••• to N••••••••• M••••• I••••••••• S•••••••••Jun 26, 2017 · Other
- A•••••••• B•••• O••••••• to L•••••• W••••• A•••••••• L••Jun 16, 2014 · Other
- C•••••• W•••••• N•••• to T• A••••••••• I•••Oct 27, 2011 · Other
- B•••• T••••• B••••••••• to W•••••••• A•••• M••••••••• I•••Sep 22, 2011 · Other
- P••• K•••• K•••••• to P•••••• A•••••• G••••• L••Aug 22, 2011 · Other
- M••• S••••• S••••••• to R••••••••• D••••• • M••••••••• I••May 23, 2007 · Other
- J•••••• L•• C•••••• to M•• F•••••••• S•••••••• I•••Mar 14, 2006 · Other
Joined, latest
- D•••• P•••• D••••• from R•••• R••• A••••••• L••Jan 15, 2019 · RIA to RIA
- D••••• L• G••••••• from L•• F•••••••• L••Jan 19, 2016 · Other
- R••••• J••• W•••• from M•• F•••••••• S•••••••• I•••Apr 8, 2015 · Other
- A•••••••• B•••• O••••••• from A••••••••• I•••Jan 23, 2013 · Other
- C•••••• W•••••• N•••• from O•••• I••••••••• I•••Jun 16, 2011 · Other
- B•••• T••••• B••••••••• from F••••• I•••••••••Mar 9, 2010 · Other
- P•••••• M•••••• D•••••• from T• W••••• M••••••••• S••••••• I•••Feb 4, 2008 · Other
- M••• S••••• S••••••• from V••• F•••••••• A•••••••• I•••Aug 30, 2005 · Other
- G••••• J••••• K••••• from U•• F•••••••• S••••••• I•••Aug 30, 2005 · Other
- J•••••• L•• C•••••• from C•••• I••••••••• S••••••• C••••Jul 26, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2021 · Danbury, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• L•••••• A• · Chief Compliance Officer/Chief Operating Officercontrolsince 10/2006 · owns 5% to 10%
- R•••• R•••••• J••• · Presidentcontrolsince 08/1989 · owns less than 5%
- R•••• R•••••• J••• · Managing Membercontrolsince 01/2011 · owns 75% or more of Robert J Reby & Company Inc.
Entity owners
- R••••• J• R••• • C•••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 1,586 to 1,696Jun 26, 2019 to Mar 30, 2020
- Advisory employees · 13 to 14Jun 26, 2019 to Mar 30, 2020
- BD registered reps · 10 to 11Jun 26, 2019 to Mar 30, 2020
- HNW clients · 161 to 137Jun 26, 2019 to Mar 30, 2020
- Individual clients · 443 to 486Jun 26, 2019 to Mar 30, 2020
- Pension plan clients · unset to 8.0Jun 26, 2019 to Mar 30, 2020
- Assets in custody · $301M to $146MJun 26, 2019 to Mar 30, 2020
- Employees · 13 to 14Jun 26, 2019 to Mar 30, 2020
- Other offices · 2 to 1Jun 26, 2019 to Mar 30, 2020
- Discretionary RAUM · $410M to $526MJun 26, 2019 to Mar 30, 2020
- HNW RAUM · $285M to $382MJun 26, 2019 to Mar 30, 2020
- Individual RAUM · $124M to $131MJun 26, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $1.5M to $4.3MJun 26, 2019 to Mar 30, 2020
- Pension RAUM · $2.0M to $17.2MJun 26, 2019 to Mar 30, 2020
- RAUM · $411M to $530MJun 26, 2019 to Mar 30, 2020
- Accounts · 1,360 to 1,586Nov 8, 2018 to Mar 28, 2019
- Advisory activities · 2 to 4Nov 8, 2018 to Mar 28, 2019
- BD registered reps · 11 to 10Nov 8, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Nov 8, 2018 to Mar 28, 2019
- Corporate clients · unset to 0.0Nov 8, 2018 to Mar 28, 2019
- HNW clients · 130 to 161Nov 8, 2018 to Mar 28, 2019
- Individual clients · 458 to 443Nov 8, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 0.0Nov 8, 2018 to Mar 28, 2019
- Assets in custody · $293M to $301MNov 8, 2018 to Mar 28, 2019
- Employees · 17 to 13Nov 8, 2018 to Mar 28, 2019
- Financial planning clients · 251-500 to More than 500Nov 8, 2018 to Mar 28, 2019
- State-registered IARs · 0 to 9Nov 8, 2018 to Mar 28, 2019
- Discretionary RAUM · $422M to $410MNov 8, 2018 to Mar 28, 2019
- HNW RAUM · $268M to $285MNov 8, 2018 to Mar 28, 2019
- Individual RAUM · $154M to $124MNov 8, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $0 to $1.5MNov 8, 2018 to Mar 28, 2019
- Pension RAUM · unset to 2005456.0Nov 8, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · unset to 0.0Nov 8, 2018 to Mar 28, 2019
- RAUM · $422M to $411MNov 8, 2018 to Mar 28, 2019
- Wrap assets (manager) · $404M to $0Nov 8, 2018 to Mar 28, 2019
- Wrap assets (sponsor) · $404M to $0Nov 8, 2018 to Mar 28, 2019
- Accounts · 555 to 1,360Sep 29, 2017 to Mar 30, 2018
- Advisory employees · 6 to 13Sep 29, 2017 to Mar 30, 2018
- HNW clients · unset to 130.0Sep 29, 2017 to Mar 30, 2018
- Individual clients · unset to 458.0Sep 29, 2017 to Mar 30, 2018
Signals
2 dated events
- Reby Advisors, Llc reported RAUM $530.2M, up 29% from $411.2M (2019-06-26 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Reby Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 9, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026