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
Frisch Financial Group, Inc.
Latest filing Apr 10, 2026
First filing on the tape Feb 28, 2012 · 31 filings
SEC status approved since Aug 21, 2003
RAUM
$932M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$924M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
18
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$932M as of Apr 10, 2026
Feb 28, 2012$230M then
HNW client RAUM$819M as of Apr 10, 2026
Mar 29, 2018$301M then
State-registered IARs (5.B.3)6 as of Apr 10, 2026
Mar 28, 20134 then
Employees (5.A)18 as of Apr 10, 2026
Mar 28, 201312 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $529,599derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $18.4M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$819M88%
- Individuals$104M11%
- Charitable organizations$4.5M0.5%
- Pension and profit-sharing plans$3.4M0.4%
- Corporations and businesses$77,5730.0%
- Individual clients
- 243reported
- HNW clients
- 358reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,759reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.4M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joyce Ann StreithorstCertified Financial Planner | Melville, Ny | Feb 2, 2011 | 21 y | 0 |
| David Andrew FrischCertified Financial Planner, Personal Financial Specialist | Melville, Ny | Feb 3, 2011 | 27 y | 0 |
| Jason Matthew SacksCertified Financial Planner | Melville, Ny | Feb 3, 2011 | 29 y | 1 |
| Shawn Patrick GallagherCertified Financial Planner | Melville, Ny | May 19, 2015 | 21 y | 1 |
| Josiah ChoyChartered Financial Analyst | Melville, Ny | Jun 5, 2017 | 17 y | 1 |
| Li GettlemanCertified Financial Planner | Melville, Ny | Aug 13, 2025 | 11 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- Peter Vitale to Charles Schwab & Co., Inc.Jul 3, 2026 · RIA to affiliated broker-dealer or bank
- Samandar Kasimov to Avestar Capital, LLCNov 6, 2025 · RIA to RIA
- Jignesh Patel to Fidelity Personal And Workplace AdvisorsMay 15, 2017 · Other
Joined, latest
- Samandar Kasimov from Neuberger Berman Bd LLCNov 17, 2024 · Other
- Peter Vitale from J.P. Morgan Securities LLCSep 5, 2021 · Wirehouse to independent RIA
- Josiah Choy from M Holdings Securities, Inc.Jun 5, 2017 · Other
- Shawn Patrick Gallagher from Advice And Planning ServicesMay 19, 2015 · Other
- Jignesh Patel from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 7, 2013 · Other
- Jason Matthew Sacks from Td Ameritrade, Inc.Feb 3, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew David Frisch · Chief Executive Officer / Shareholdercontrolsince 06/1999 · owns 75% or more
- Patrick Shawn Gallagher · Shareholdercontrolsince 11/2022 · owns less than 5%
- Matthew Jason Sacks · Shareholdercontrolsince 12/2010 · owns 5% to 10%
- Ann Joyce Streithorst · Chief Compliance Officer / Shareholdercontrolsince 03/2010 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Melville, Ny · principal | 6 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- Tampa, FL1 employees
- White Plains, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Apr 10, 2026employees per registered advisor of 3.0 against a peer median of 1.4 (947 comparable advisers, 98.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $500M to $1B (947) · 98% percentile
- control person changedChange between filings · filing Apr 10, 2026SACKS, JASON, MATTHEW (SHAREHOLDER) left Schedule A between the filings of 2023-03-28 and 2026-04-10peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 1,625 to 1,759Mar 28, 2025 to Mar 27, 2026
- Advisory activities · 3 to 2Mar 28, 2025 to Mar 27, 2026
- HNW clients · 296 to 358Mar 28, 2025 to Mar 27, 2026
- Individual clients · 250 to 243Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $19.0M to $18.4MMar 28, 2025 to Mar 27, 2026
- Employees · 16 to 18Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $747M to $893MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $667M to $819MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $111M to $104MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $43.0M to $38.3MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $7.6M to $3.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $790M to $932MMar 28, 2025 to Mar 27, 2026
- Accounts · 1,539 to 1,625Feb 7, 2025 to Mar 28, 2025
- Advisory employees · 6 to 7Feb 7, 2025 to Mar 28, 2025
- HNW clients · 250 to 296Feb 7, 2025 to Mar 28, 2025
- Individual clients · 274 to 250Feb 7, 2025 to Mar 28, 2025
- Assets in custody · $20.7M to $19.0MFeb 7, 2025 to Mar 28, 2025
- Employees · 15 to 16Feb 7, 2025 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Feb 7, 2025 to Mar 28, 2025
- Other offices · 3 to 4Feb 7, 2025 to Mar 28, 2025
- Discretionary RAUM · $684M to $747MFeb 7, 2025 to Mar 28, 2025
- HNW RAUM · $580M to $667MFeb 7, 2025 to Mar 28, 2025
- Individual RAUM · $130M to $111MFeb 7, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $37.2M to $43.0MFeb 7, 2025 to Mar 28, 2025
- Pension RAUM · $6.9M to $7.6MFeb 7, 2025 to Mar 28, 2025
- RAUM · $721M to $790MFeb 7, 2025 to Mar 28, 2025
- Accounts · 1,460 to 1,539Mar 28, 2023 to Mar 22, 2024
- Corporate clients · 6.0 to unsetMar 28, 2023 to Mar 22, 2024
- HNW clients · 225 to 250Mar 28, 2023 to Mar 22, 2024
- Individual clients · 272 to 274Mar 28, 2023 to Mar 22, 2024
- Assets in custody · $25.7M to $20.7MMar 28, 2023 to Mar 22, 2024
- Employees · 14 to 15Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $555M to $684MMar 28, 2023 to Mar 22, 2024
- HNW RAUM · $450M to $580MMar 28, 2023 to Mar 22, 2024
- Individual RAUM · $117M to $130MMar 28, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $36.6M to $37.2MMar 28, 2023 to Mar 22, 2024
- Pension RAUM · $5.6M to $6.9MMar 28, 2023 to Mar 22, 2024
- RAUM · $592M to $721MMar 28, 2023 to Mar 22, 2024
- Accounts · 1,430 to 1,460Mar 24, 2022 to Mar 28, 2023
- Corporate clients · 7 to 6Mar 24, 2022 to Mar 28, 2023
Signals
4 dated events
- Peter Vitale left Frisch Financial Group, Inc. for Charles Schwab & Co., Inc. (registered 2026-07-01)Jul 3, 2026 · Advisor changed firm · fact
- Samandar Kasimov left Frisch Financial Group, Inc. for Avestar Capital, Llc (registered 2026-04-19)Nov 6, 2025 · Advisor changed firm · fact
- Patrick Shawn Gallagher (Shareholder) appeared on Schedule A of Frisch Financial Group, Inc.Mar 28, 2023 · Control person joined · fact
- Sol Harold Frisch (Chief Financial Officer) no longer on Schedule A of Frisch Financial Group, Inc. (listed 2020-06-24, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
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
- Business phone
- 212-983-8151reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-983-8444reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-694-7900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3041267reportedpublic record, Form ADV, Sep 17, 2026
- Website
- FRISCHFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 516-694-7900reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- frischfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026