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.

Former SEC-registered adviser

Private Capital Group, LLC

Former SEC-registered adviserWest Hartford, ConnecticutCRD 126665SEC 801-62078IAPD
Latest filing Feb 14, 2022
First filing on the tape Nov 16, 2011 · 32 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$918M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.0B as of Feb 14, 2022
Mar 23, 2012$300M then
HNW client RAUM$642M as of Feb 14, 2022
Mar 29, 2018$712M then
State-registered IARs (5.B.3)4 as of Feb 14, 2022
Mar 23, 20120 then
Employees (5.A)10 as of Feb 14, 2022
Mar 11, 20137 then
Private funds: no history
RAUM -17% over the last fiscal year-2.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 14, 2022; every figure names its basis
RAUM per advisor
$253MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
158derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$564,573derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-8.8%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$126M, 192 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$642M63%
  • Individuals$275M27%
  • Charitable organizations$92.9M9.2%
  • Pension and profit-sharing plans$2.2M0.2%
Individual clients
449reported
HNW clients
182reported
Pension plan clients
1reported
Charitable clients
12reported
Accounts
1,794reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$126M for 192 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edwin James Decarlo · Chief Strategic Growth Officercontrol
    since 11/2021 · owns less than 5%
  • J Michael Del Priore · Chief Compliance Officercontrol
    since 11/2021 · owns less than 5%
  • David Benjamin Kille · Managing Directorcontrol
    since 03/2003 · owns less than 5%
  • Anthony Michael Lamena · Chief Executive Officercontrol
    since 11/2021 · owns less than 5%
  • Michell Lori Lieser · Vice Presidentcontrol
    since 11/2021 · owns less than 5%
  • Ei Chun Veronica Moo · Directorcontrol
    since 11/2021 · owns less than 5%
  • Joseph Michael Moriarty · Chief Investment Officercontrol
    since 11/2021 · owns less than 5%
  • George Edward O'Malley · Directorcontrol
    since 11/2021 · owns less than 5%
  • David Brian Powers · Chief Financial Officercontrol
    since 11/2021 · owns less than 5%
  • Ronald Brett Schneider · Directorcontrol
    since 11/2021 · owns less than 5%
  • Matthew Eric Sontag · President & Chief Operations Officercontrol
    since 11/2021 · owns less than 5%
  • Vaughn Howard Sontag · Sr. Managing Directorcontrol
    since 11/2021 · owns less than 5%
  • Ronald Hoyt Stastney · Chief Legal Officercontrol
    since 11/2021 · owns less than 5%
Entity owners
  • Wealthspire Advisors · Owner
    direct · owns 75% or more
  • Madison Dearborn Partners · General Partner
    indirect · owns F of Patriot Spv Gp, L.P.
  • Nfp Corp. · Owner
    indirect · owns 75% or more of Wealthspire Holdings, LLC
  • Nfp Holdings, LLC · Owner
    indirect · owns 75% or more of Nfp Parent Co, LLC
  • Nfp Intermediate Holdings A. Corp. · Owner
    indirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
  • Nfp Intermediate Holdings B. Corp. · Owner
    indirect · owns 75% or more of Nfp Corp.
  • Nfp Parent Co, LLC · Owner
    indirect · owns 75% or more of Nfp Intermediate Holdings A. Corp.
  • Nfp Ultimate Holdings, LLC · Owner
    indirect · owns 75% or more of Nfp Holdings, LLC
  • Patriot Spv Gp, L.P. · General Partner
    indirect · owns F of Patriot Spv, L.P.
  • Patriot Spv, L.P. · Owner
    indirect · owns 25% to 50% of Nfp Ultimate Holdings, LLC
  • Wealthspire Holdings, LLC · Member
    indirect · owns 75% or more of Wealthspire Advisors
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2,246 to 1,794
    Nov 22, 2021 to Feb 14, 2022
  • Charity clients · 17 to 12
    Nov 22, 2021 to Feb 14, 2022
  • Corporate clients · 6.0 to unset
    Nov 22, 2021 to Feb 14, 2022
  • HNW clients · 203 to 182
    Nov 22, 2021 to Feb 14, 2022
  • Individual clients · 489 to 449
    Nov 22, 2021 to Feb 14, 2022
  • Pension plan clients · 6 to 1
    Nov 22, 2021 to Feb 14, 2022
  • Assets in custody · $138M to $126M
    Nov 22, 2021 to Feb 14, 2022
  • Discretionary RAUM · $1.2B to $1.0B
    Nov 22, 2021 to Feb 14, 2022
  • HNW RAUM · $787M to $642M
    Nov 22, 2021 to Feb 14, 2022
  • Individual RAUM · $337M to $275M
    Nov 22, 2021 to Feb 14, 2022
  • Pension RAUM · $7.0M to $2.2M
    Nov 22, 2021 to Feb 14, 2022
  • RAUM · $1.2B to $1.0B
    Nov 22, 2021 to Feb 14, 2022
  • Related adviser · false to true
    Nov 22, 2021 to Feb 14, 2022
  • Wrap assets (manager) · 2435031.0 to unset
    Nov 22, 2021 to Feb 14, 2022
  • Wrap assets (sponsor) · 0.0 to unset
    Nov 22, 2021 to Feb 14, 2022
  • Accounts · 2,482 to 2,246
    Nov 4, 2020 to Mar 29, 2021
  • Advisory employees · 8 to 4
    Nov 4, 2020 to Mar 29, 2021
  • BD registered reps · 2 to 0
    Nov 4, 2020 to Mar 29, 2021
  • Charity clients · 13 to 17
    Nov 4, 2020 to Mar 29, 2021
  • HNW clients · 259 to 203
    Nov 4, 2020 to Mar 29, 2021
  • Individual clients · 628 to 489
    Nov 4, 2020 to Mar 29, 2021
  • Pension plan clients · unset to 6.0
    Nov 4, 2020 to Mar 29, 2021
  • Assets in custody · $229M to $138M
    Nov 4, 2020 to Mar 29, 2021
  • Employees · 14 to 10
    Nov 4, 2020 to Mar 29, 2021
  • State-registered IARs · 8 to 4
    Nov 4, 2020 to Mar 29, 2021
  • Discretionary RAUM · $1.1B to $1.2B
    Nov 4, 2020 to Mar 29, 2021
  • HNW RAUM · $857M to $787M
    Nov 4, 2020 to Mar 29, 2021
  • Individual RAUM · $203M to $337M
    Nov 4, 2020 to Mar 29, 2021
  • Pension RAUM · $10.1M to $7.0M
    Nov 4, 2020 to Mar 29, 2021
  • RAUM · $1.1B to $1.2B
    Nov 4, 2020 to Mar 29, 2021
  • Related insurance company · true to false
    Nov 4, 2020 to Mar 29, 2021
  • Wrap assets (manager) · $2.4M to $2.4M
    Nov 4, 2020 to Mar 29, 2021
  • Accounts · 2,900 to 2,482
    Oct 21, 2019 to Mar 30, 2020
  • Advisory employees · 10 to 8
    Oct 21, 2019 to Mar 30, 2020
  • Charity clients · 11 to 13
    Oct 21, 2019 to Mar 30, 2020
  • HNW clients · 313 to 259
    Oct 21, 2019 to Mar 30, 2020
  • Individual clients · 776 to 628
    Oct 21, 2019 to Mar 30, 2020
  • Pension plan clients · 5.0 to unset
    Oct 21, 2019 to Mar 30, 2020
  • Assets in custody · $326M to $229M
    Oct 21, 2019 to Mar 30, 2020
  • Employees · 10 to 14
    Oct 21, 2019 to Mar 30, 2020
Signals
19 dated events
  • Marc Elliot Austin left Private Capital Group, Llc for Wealthspire Advisors (registered 2022-09-20)
    Oct 26, 2022 · Advisor changed firm · fact
  • Amy B Miller left Private Capital Group, Llc for Wealthspire Advisors (registered 2022-09-20)
    Oct 26, 2022 · Advisor changed firm · fact
  • Jared Cohen Costigan left Private Capital Group, Llc for Wealthspire Advisors (registered 2022-09-20)
    Oct 26, 2022 · Advisor changed firm · fact
  • Benjamin David Kille left Private Capital Group, Llc for Nfp Advisor Services, Llc (registered 2011-10-27)
    Oct 26, 2022 · Advisor changed firm · fact
  • Private Capital Group, LLC's advisors moved to Wealthspire Advisors (West Hartford, CT): 3 of 5 registered, on the same day
    Oct 26, 2022 · Firm absorbed (people side) · derived
  • Vaughn Howard Sontag (Sr. Managing Director) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Ronald Brett Schneider (Director) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Michell Lori Lieser (Vice President) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • George Edward O'Malley (Director) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Ei Chun Veronica Moo (Director) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • David Brian Powers (Chief Financial Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Edwin James Decarlo (Chief Strategic Growth Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of Private Capital Group, Llc
    Nov 22, 2021 · Control person joined · fact
  • Thomas William Rabbitt (Manager) no longer on Schedule A of Private Capital Group, Llc (listed 2019-10-21, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Private Capital Group, Llc reported RAUM $1.0B, up 57% from $648.7M (2017-10-31 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
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