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
Park Piedmont Advisors LLC
Latest filing Sep 26, 2025
First filing on the tape Feb 15, 2012 · 45 filings
SEC status approved since Dec 18, 2003
RAUM
$1.0B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
96%
$983M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.0B as of Sep 26, 2025
Feb 15, 2012$328M then
HNW client RAUM$901M as of Sep 26, 2025
Mar 15, 2018$434M then
State-registered IARs (5.B.3)5 as of Sep 26, 2025
Feb 8, 20130 then
Employees (5.A)11 as of Sep 26, 2025
Feb 8, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+3.8% a year over threeIARs 7 to 5offices 6 to 3
Practice profile
derived from the filing of Sep 26, 2025; every figure names its basis
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $659,698derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $4.4M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$901M88%
- Individuals$82.0M8.0%
- Pension and profit-sharing plans$22.3M2.2%
- Corporations and businesses$11.7M1.1%
- Charitable organizations$11.3M1.1%
- Individual clients
- 222reported
- HNW clients
- 220reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 1,559reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- Samantha Ngooi to Apella WealthDec 1, 2025 · RIA to RIA
- Thomas Malcolm Levinson to Apella WealthDec 1, 2025 · RIA to RIA
- Richard Alan Backer to Apella WealthDec 1, 2025 · RIA to RIA
- Nicholas Louis Levinson to Apella WealthDec 1, 2025 · RIA to RIA
- George J. Gotthold to Advisory Services NetworkSep 9, 2025 · RIA to RIA
- Stuart David Greenberg to Advisory Services NetworkSep 9, 2025 · RIA to RIA
- Doralee Grace Meyer to Wellacre Global Wealth AdvisorsDec 9, 2021 · RIA to RIA
Joined, latest
- Doralee Grace Meyer from Associated Investment Services, Inc.May 20, 2019 · Other
- Nicholas Louis Levinson from Balis Lewittes & Coleman, Inc.Dec 19, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Apella WealthDec 1, 2025 · Chicago, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Louis Nicholas Levinson · Membercontrolsince 10/2003 · owns 50% to 75%
- Malcolm Thomas Levinson · Member/Chief Compliance Officercontrolsince 12/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- George Gottholdinsurancen
- Richard Backerinsurancen
- Stuart Greenberginsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl | 0 | 0 | 0 | ||
| Chicago, Il · principal | 0 | 0 | 3 | ||
| New York, Ny | 0 | 0 | 1 | ||
| Waretown, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- Springfield, NJ1 employees
- Waretown, NJ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,709 to 1,559Jul 11, 2025 to Sep 26, 2025
- Advisory employees · 7 to 5Jul 11, 2025 to Sep 26, 2025
- Charity clients · 1 to 2Jul 11, 2025 to Sep 26, 2025
- HNW clients · 215 to 220Jul 11, 2025 to Sep 26, 2025
- Individual clients · 319 to 222Jul 11, 2025 to Sep 26, 2025
- Pension plan clients · 6 to 5Jul 11, 2025 to Sep 26, 2025
- Employees · 13 to 11Jul 11, 2025 to Sep 26, 2025
- State-registered IARs · 7 to 5Jul 11, 2025 to Sep 26, 2025
- Other offices · 6 to 3Jul 11, 2025 to Sep 26, 2025
- Discretionary RAUM · $475M to $464MJul 11, 2025 to Sep 26, 2025
- HNW RAUM · $869M to $901MJul 11, 2025 to Sep 26, 2025
- Individual RAUM · $107M to $82.0MJul 11, 2025 to Sep 26, 2025
- Non-discretionary RAUM · $547M to $564MJul 11, 2025 to Sep 26, 2025
- Pension RAUM · $23.8M to $22.3MJul 11, 2025 to Sep 26, 2025
- RAUM · $1.0B to $1.0BJul 11, 2025 to Sep 26, 2025
- Financial planning clients · unset to Apr 4, 2025 to Jul 11, 2025
- Accounts · 1,498 to 1,709Jun 20, 2024 to Apr 4, 2025
- Charity clients · 2 to 1Jun 20, 2024 to Apr 4, 2025
- HNW clients · 210 to 215Jun 20, 2024 to Apr 4, 2025
- Individual clients · 312 to 319Jun 20, 2024 to Apr 4, 2025
- Pension plan clients · 4 to 6Jun 20, 2024 to Apr 4, 2025
- Assets in custody · $3.7M to $4.4MJun 20, 2024 to Apr 4, 2025
- Discretionary RAUM · $392M to $475MJun 20, 2024 to Apr 4, 2025
- HNW RAUM · $731M to $869MJun 20, 2024 to Apr 4, 2025
- Individual RAUM · $90.5M to $107MJun 20, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $470M to $547MJun 20, 2024 to Apr 4, 2025
- Pension RAUM · $7.1M to $23.8MJun 20, 2024 to Apr 4, 2025
- RAUM · $862M to $1.0BJun 20, 2024 to Apr 4, 2025
- Other offices · 7 to 6Jun 19, 2024 to Jun 20, 2024
- Other offices · 6 to 7Mar 16, 2024 to May 21, 2024
- Accounts · 1,565 to 1,498Jan 7, 2024 to Mar 16, 2024
- Charity clients · 18 to 2Jan 7, 2024 to Mar 16, 2024
- Corporate clients · 1 to 3Jan 7, 2024 to Mar 16, 2024
- HNW clients · 190 to 210Jan 7, 2024 to Mar 16, 2024
- Individual clients · 315 to 312Jan 7, 2024 to Mar 16, 2024
- Pension plan clients · 8 to 4Jan 7, 2024 to Mar 16, 2024
- Assets in custody · $250M to $3.7MJan 7, 2024 to Mar 16, 2024
- Employees · 12 to 13Jan 7, 2024 to Mar 16, 2024
- State-registered IARs · 6 to 7Jan 7, 2024 to Mar 16, 2024
- Other offices · 5 to 6Jan 7, 2024 to Mar 16, 2024
Signals
11 dated events
- Park Piedmont Advisors Llc no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $1.0B)Jan 2, 2026 · Left the SEC roster · derived
- Thomas Malcolm Levinson left Park Piedmont Advisors Llc for Apella Wealth (registered 2025-09-14)Dec 1, 2025 · Advisor changed firm · fact
- Park Piedmont Advisors LLC's advisors moved to Apella Wealth (Chicago, IL): 3 of 4 registered, on the same dayDec 1, 2025 · Firm absorbed (people side) · derived
- Nicholas Louis Levinson left Park Piedmont Advisors Llc for Apella Wealth (registered 2025-09-14)Dec 1, 2025 · Advisor changed firm · fact
- Samantha Ngooi left Park Piedmont Advisors Llc for Apella Wealth (registered 2025-09-12)Dec 1, 2025 · Advisor changed firm · fact
- Richard Alan Backer left Park Piedmont Advisors Llc for Apella Wealth (registered 2025-09-12)Dec 1, 2025 · Advisor changed firm · fact
- George J. Gotthold left Park Piedmont Advisors Llc for Advisory Services Network (registered 2025-09-16)Sep 9, 2025 · Advisor changed firm · fact
- Stuart David Greenberg left Park Piedmont Advisors Llc for Advisory Services Network (registered 2025-09-02)Sep 9, 2025 · Advisor changed firm · fact
- Nmn Victor Levinson (Member) no longer on Schedule A of Park Piedmont Advisors Llc (listed 2022-05-06, absent 2022-07-20)Jul 20, 2022 · Control person left · inference
- Park Piedmont Advisors Llc reported RAUM $689.0M, up 32% from $523.1M (2018-10-18 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Park Piedmont Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)May 30, 2017 · 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