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
Carret Asset Management, LLC
Latest filing Jun 10, 2026
First filing on the tape Dec 22, 2011 · 44 filings
SEC status approved since May 17, 2004
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$1.4B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$315M
derived; firm RAUM over IAPD count
Employees
22
10 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$3.5B as of Jun 10, 2026
Mar 29, 2012$1.5B then
HNW client RAUM$1.2B as of Jun 10, 2026
Mar 28, 2018$777M then
State-registered IARs (5.B.3)0 as of Jun 10, 2026
Mar 28, 20130 then
Employees (5.A)22 as of Jun 10, 2026
Mar 28, 201322 then
Private funds1 as of Mar 28, 2013
Mar 29, 20121 then
RAUM +7.0% over the last fiscal year+4.6% a year over threeIARs 0 to 0offices 7 to 6
Practice profile
derived from the filing of Jun 10, 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
- $315MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $565M, 281 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)
- 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
- Other investment advisers$1.6B47%
- High-net-worth individuals$1.2B35%
- Individuals$229M6.6%
- Corporations and businesses$225M6.5%
- Investment companies$129M3.7%
- Pension and profit-sharing plans$29.3M0.8%
- Individual clients
- 854reported
- HNW clients
- 367reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 2,633reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $406M managedreported
- Custody of client assets
- $565M for 281 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.41 fund_share=0.51 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Parker Pearson | New York, Ny | Jun 7, 2004 | 39 y | 1 |
| Jason Richard GraybillChartered Financial Analyst | New York, Ny | Mar 28, 2018 | 24 y | 1 |
| Wayne Stanley Reisner | New York, Ny | May 26, 2021 | 22 y | 1 |
| Elizabeth Anne NewberryChartered Financial Analyst | New York, Ny | Jun 8, 2021 | 23 y | 1 |
| Franklin LeveringChartered Financial Analyst | Denver, Co | Jun 8, 2021 | 14 y | 0 |
| Jack Charles KaplanChartered Financial Analyst | New York, Ny | Jun 8, 2021 | 24 y | 1 |
| Neil Douglas Klein | New York, Ny | Jun 12, 2021 | 37 y | 2 |
| Laurence Richard Golding | New York, Ny | Jun 12, 2021 | 25 y | 0 |
| Todd Richard FliegelChartered Financial Analyst | New York, Ny | Jun 24, 2021 | 22 y | 1 |
| Brendan Edward Devine | Englewood, Nj | Nov 22, 2023 | 13 y | 0 |
| Matthew Ellis Behrman | New York, Ny | Aug 23, 2024 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount1 left over 36 months
Left, latest
- Anthony Sneag to UBS Financial Services Inc.Dec 1, 2025 · RIA to wirehouse
- John Helme Dunn to J.P. Morgan Securities LLCAug 3, 2023 · RIA to wirehouse
- Richard Stephen Bartholow to Morgan StanleyJan 14, 2010 · Other
- Linda Hope Sutkin to Kelleher Financial Advisors, LLCJan 7, 2010 · Other
Joined, latest
- John Helme Dunn from Ingalls Investment Management, LLCJul 6, 2021 · RIA to RIA
- Todd Richard Fliegel from Carret And Company, LLC.Jun 24, 2021 · Other
- Neil Douglas Klein from Abner Herrman & Brock, LLCJun 12, 2021 · Other
- Elizabeth Anne Newberry from Carret And Company, LLC.Jun 8, 2021 · Other
- Jack Charles Kaplan from Dda Investors, LLCJun 8, 2021 · Other
- Wayne Stanley Reisner from Carret And Company, LLC.May 26, 2021 · Other
- Jason Richard Graybill from Abner Herrman & Brock, LLCMar 28, 2018 · Other
- Linda Hope Sutkin from Carret And Company, LLC.Jun 7, 2004 · Other
- Richard Stephen Bartholow from Carret And Company, LLC.Jun 7, 2004 · Other
- David Parker Pearson from Carret And Company, LLC.Jun 7, 2004 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Carret Global Fund Ldcno longer reported | Other Private Fund | $13.5M | 28 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Stanley Wayne Reisner · Principal, Senior Managing Directorcontrolsince 09/2005 · owns less than 5%
- Antonio Marco Vega · President / Cco Managing Director Managing Director Managing Directorcontrolsince 09/2005 · owns less than 5%
- Richard Jason Graybill · Principal, Senior Managing Directorsince 01/2014 · owns less than 5%
- Douglas Neil Klein · Principal, Senior Managing Directorsince 01/2014 · owns less than 5%
Entity owners
- Carret Holdings, Inc. · Memberdirect · owns 75% or more
- Sbi Global Asset Management Co., Ltd. (Japan) · Shareholderindirect · owns 50% to 75% of Carret Holdings, Inc.
- Sbi Holdings, Inc. Japan · Shareholderindirect · owns 75% or more of Sbi Global Asset Management Co., Ltd. (Japan)
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 0 | 1 | ||
| Denver, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 10, 2026REISNER, WAYNE, STANLEY (PRINCIPAL, SENIOR MANAGING DIRECTOR) left Schedule A between the filings of 2023-03-29 and 2026-06-10peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Corporate clients · 43 to 39May 20, 2026 to Jun 10, 2026
- HNW clients · 395 to 367May 20, 2026 to Jun 10, 2026
- Individual clients · 941 to 854May 20, 2026 to Jun 10, 2026
- Pension plan clients · 17 to 15May 20, 2026 to Jun 10, 2026
- HNW RAUM · $1.3B to $1.2BMay 20, 2026 to Jun 10, 2026
- Individual RAUM · $264M to $229MMay 20, 2026 to Jun 10, 2026
- Pension RAUM · $31.0M to $29.3MMay 20, 2026 to Jun 10, 2026
- Accounts · 2,588 to 2,633Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 40 to 43Mar 31, 2025 to Mar 31, 2026
- HNW clients · 348 to 395Mar 31, 2025 to Mar 31, 2026
- Individual clients · 835 to 941Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 13 to 17Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $437M to $565MMar 31, 2025 to Mar 31, 2026
- Other offices · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.2B to $3.5BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $1.0B to $1.3BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $221M to $264MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $27.3M to $31.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $3.2B to $3.5BMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $550M to $406MMar 31, 2025 to Mar 31, 2026
- Accounts · 2,525 to 2,588Apr 4, 2024 to Mar 31, 2025
- Advisory employees · 11 to 10Apr 4, 2024 to Mar 31, 2025
- Corporate clients · 36 to 40Apr 4, 2024 to Mar 31, 2025
- HNW clients · 320 to 348Apr 4, 2024 to Mar 31, 2025
- Individual clients · 836 to 835Apr 4, 2024 to Mar 31, 2025
- Pension plan clients · 15 to 13Apr 4, 2024 to Mar 31, 2025
- Assets in custody · $645M to $437MApr 4, 2024 to Mar 31, 2025
- Employees · 23 to 22Apr 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.1B to $3.2BApr 4, 2024 to Mar 31, 2025
- HNW RAUM · $922M to $1.0BApr 4, 2024 to Mar 31, 2025
- Individual RAUM · $227M to $221MApr 4, 2024 to Mar 31, 2025
- Pension RAUM · $29.7M to $27.3MApr 4, 2024 to Mar 31, 2025
- RAUM · $3.1B to $3.2BApr 4, 2024 to Mar 31, 2025
- Wrap assets (manager) · $546M to $550MApr 4, 2024 to Mar 31, 2025
- Accounts · 2,474 to 2,525Apr 20, 2023 to Mar 29, 2024
- Advisory employees · 12 to 11Apr 20, 2023 to Mar 29, 2024
- HNW clients · 274 to 320Apr 20, 2023 to Mar 29, 2024
- Individual clients · 868 to 836Apr 20, 2023 to Mar 29, 2024
- Pension plan clients · 16 to 15Apr 20, 2023 to Mar 29, 2024
Signals
4 dated events
- Anthony Sneag left Carret Asset Management, Llc for Ubs Financial Services Inc. (registered 2025-11-26)Dec 1, 2025 · Advisor changed firm · fact
- Carret Asset Management, Llc reported 0 state-registered advisory representatives, down from 11 (2023-04-20 to 2024-03-29)Mar 29, 2024 · Advisor headcount change · derived
- John Helme Dunn left Carret Asset Management, Llc for J.P. Morgan Securities Llc (registered 2023-12-21)Aug 3, 2023 · Advisor changed firm · fact
- Carret Asset Management, Llc reported 7 offices beyond its principal office, up from 1 (2021-07-22 to 2022-03-31)Mar 31, 2022 · Office count 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
- Business email
- info@carret.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-593-3800reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CARRET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-593-3800reportedpublic record, Form ADV, Jun 10, 2026
- Team page
- carret.com/team-memberreportedpublished by the firm, firm site, Sep 15, 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
- $315Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026