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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SEC-registered adviser
R•••••• • C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 22, 2011 · 57 filings
SEC status approved since Jun 7, 2001
RAUM
$950M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$359M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
18
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$950M as of Mar 31, 2026
Mar 30, 2012$479M then
HNW client RAUM$338M as of Mar 31, 2026
Mar 29, 2018$278M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 28, 20134 then
Employees (5.A)18 as of Mar 31, 2026
Mar 28, 201316 then
Private funds4 as of Mar 31, 2026
Mar 30, 20124 then
RAUM +7.7% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Wrap fee program
- $63.4MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$531M56%
- High-net-worth individuals$338M36%
- Charitable organizations$28.5M3.0%
- Pension and profit-sharing plans$26.0M2.7%
- Individuals$21.3M2.2%
- Corporations and businesses$4.8M0.5%
- Individual clients
- 33reported
- HNW clients
- 192reported
- Pension plan clients
- 15reported
- Charitable clients
- 5reported
- Accounts
- 252reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.38 fund_share=0.56 institutional_share=0.06 related_bd=true related_bank=false bd_reps=12.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• L••••••••• V•• D•• M••• | New York, Ny | Oct 4, 2016 | 14 y | 0 |
| I•••• D•••• S••••• | New York, Ny | Mar 3, 2025 | 13 y | 0 |
| D•••• A••••• K••••• | New York, Ny | Aug 11, 2025 | 18 y | 0 |
| S•••••• E•••• C•••••• | New York, Ny | Feb 4, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- M•••••• D••••• G••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 10, 2026 · RIA to wirehouse
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• R••••••••• I••••••••• C•••••• L• | Hedge Fund | $273M | 51 | Mar 30, 2012 |
| R••••••••• I••••••••• I•• L• | Hedge Fund | $180M | 36 | Mar 30, 2012 |
| R•••••• G••••• F•••• L•• | Hedge Fund | $51.0M | 34 | Mar 30, 2012 |
| P••••••• L•no longer reported | Hedge Fund | $48.4M | 2 | Mar 28, 2013 |
| R•• V•••• F•••• L••no longer reported | Hedge Fund | $28.1M | 2 | Mar 30, 2012 |
| J•• C•••••• P•••••••• L•• | Hedge Fund | $28.0M | 17 | Mar 31, 2017 |
| R•••••• O••••••••• V•••• F•••• L••no longer reported | Hedge Fund | $19.1M | 14 | Mar 21, 2014 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• R•••••• E••••• · President, Treasurer And Director Of Applicantcontrolsince 07/2003 · owns less than 5%
- R••••••• S••••••• B••••• · Directorcontrolsince 10/2015 · owns less than 5%
- S•••••• N••••• E•••••••• · Directorcontrolsince 06/2011 · owns less than 5%
- W•••••• K••••••• R••••• · Directorcontrolsince 07/2003 · owns less than 5%
- R••••••• R•••••• E••••• · Stockholdercontrolsince 01/1983 · owns 50% to 75% of R•••••• • C••••••• I•••••••••
- K•••••••• D•••••• M•••••• · Chief Compliance Officersince 08/2019 · owns less than 5%
- M••••••• E••••• I• · Chief Financial Officer And Secretary Of Applicantsince 12/2007 · owns less than 5%
Entity owners
- R•••••• • C••••••• · Sole Member Of Director Of Applicantdirect · owns 75% or more
- R•••••• • C••••••• I••••••••• · Sole Member Of Applicantdirect · owns 75% or more
Related persons
Schedule D 7.A
- J• C•••••• P•••••••investment adviserpooled vehicle sponsornRAUM $681M
- B•••• W••••investment adviserpooled vehicle sponsorn
- D••••• G•••••••investment adviserpooled vehicle sponsorn
- D•••• K•••••investment adviserpooled vehicle sponsorn
- H••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
- J•• C•••••• M••••••••• L••pooled vehicle sponsorn
- R••••••••• M••••••••• C•••••• L••pooled vehicle sponsorn
- R••••• S•••••••investment adviserpooled vehicle sponsorn
- R•••••• G••••• M••••••••• C••••••• L••pooled vehicle sponsorn
- R•••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026R••••••• R•••••• E••••• (PRESIDENT, TREASURER AND DIRECTOR OF APPLICANT) left Schedule A between the filings of 2019-08-14 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 251 to 252Jan 30, 2026 to Mar 31, 2026
- Corporate clients · 1 to 2Jan 30, 2026 to Mar 31, 2026
- HNW clients · 193 to 192Jan 30, 2026 to Mar 31, 2026
- Pension plan clients · 13 to 15Jan 30, 2026 to Mar 31, 2026
- Pooled vehicle clients · 6 to 5Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $882M to $950MJan 30, 2026 to Mar 31, 2026
- HNW RAUM · $310M to $338MJan 30, 2026 to Mar 31, 2026
- Individual RAUM · $18.5M to $21.3MJan 30, 2026 to Mar 31, 2026
- Pension RAUM · $22.5M to $26.0MJan 30, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $502M to $531MJan 30, 2026 to Mar 31, 2026
- RAUM · $882M to $950MJan 30, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 6, 2025
- Accounts · 249 to 251Jun 12, 2024 to Mar 31, 2025
- HNW clients · 186 to 193Jun 12, 2024 to Mar 31, 2025
- Individual clients · 37 to 33Jun 12, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 6Jun 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $988M to $882MJun 12, 2024 to Mar 31, 2025
- HNW RAUM · $313M to $310MJun 12, 2024 to Mar 31, 2025
- Individual RAUM · $22.7M to $18.5MJun 12, 2024 to Mar 31, 2025
- Pension RAUM · $21.9M to $22.5MJun 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $604M to $502MJun 12, 2024 to Mar 31, 2025
- RAUM · $988M to $882MJun 12, 2024 to Mar 31, 2025
- Accounts · 251 to 249May 31, 2023 to Mar 29, 2024
- Charity clients · 4 to 5May 31, 2023 to Mar 29, 2024
- HNW clients · 141 to 186May 31, 2023 to Mar 29, 2024
- Individual clients · 34 to 37May 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 7May 31, 2023 to Mar 29, 2024
- Employees · 17 to 18May 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $708M to $988MMay 31, 2023 to Mar 29, 2024
- HNW RAUM · $244M to $313MMay 31, 2023 to Mar 29, 2024
- Individual RAUM · $16.6M to $22.7MMay 31, 2023 to Mar 29, 2024
- Pension RAUM · $18.9M to $21.9MMay 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $415M to $604MMay 31, 2023 to Mar 29, 2024
- RAUM · $708M to $988MMay 31, 2023 to Mar 29, 2024
- Accounts · 245 to 251Nov 16, 2022 to Mar 31, 2023
- Advisory employees · 12 to 14Nov 16, 2022 to Mar 31, 2023
- BD registered reps · 14 to 12Nov 16, 2022 to Mar 31, 2023
- Charity clients · 3 to 4Nov 16, 2022 to Mar 31, 2023
- Corporate clients · 2 to 1Nov 16, 2022 to Mar 31, 2023
- HNW clients · 137 to 141Nov 16, 2022 to Mar 31, 2023
Signals
4 dated events
- M•••••• D••••• G••••••• left R•••••• • C•••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-08-05)Jul 10, 2026 · Advisor changed firm · fact
- R•••••• • C•••••• A•••••••• L•• reported RAUM $987.9M, up 40% from $707.6M (2023-05-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- R•••••• • C•••••• A•••••••• L•• reported RAUM $732.4M, up 32% from $554.8M (2021-06-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- R•••••• • C•••••• A•••••••• L•• reported RAUM $493.3M, down 27% from $677.6M (2018-08-07 to 2019-03-29)Mar 29, 2019 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/robotti-&-co-/mycompanyreportedpublic record, Form ADV, Sep 19, 2026
- Website
- R••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212 986-4800reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026