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

Constellation Wealth Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 142502SEC 801-67762IAPD
Latest filing Jun 4, 2015
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$6.2B
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
28 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$546M gross assets
History
12 filings and snapshots on the tape
RAUM$6.2B as of Mar 31, 2015
Mar 28, 2012$4.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Mar 31, 2015
Mar 28, 201313 then
Employees (5.A)35 as of Mar 31, 2015
Mar 28, 201334 then
Private funds1 as of Mar 31, 2015
Mar 28, 20124 then
RAUM +22% over the last fiscal year+12% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Jun 4, 2015; every figure names its basis
RAUM per advisor
$441MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
69%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$546M, 212 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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,576reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$546M for 212 clientsreported
Compensation
% of AUM, fixed, performance, commissionsreported
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
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Constellation Hedge Partners LPHedge Fund$546M212Mar 28, 2012
    Wolff Real Estate Partners, L.P.no longer reportedReal Estate Fund$235M86Mar 28, 2012
    Constellation Strategic Opportunity Fund LPHedge Fund$14.1M14Mar 28, 2012
    Perpetual Real Estate Partners, L.P.no longer reportedReal Estate Fund$00Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Jon Michael Goldstein · Co-Ceocontrol
      since 02/2011 · owns less than 5%
    • Sam Katzman · Chief Investment Officercontrol
      since 01/2008 · owns less than 5%
    • Paul Eric Tramontano · Co-Ceocontrol
      since 01/2008 · owns less than 5%
    • Jon Michael Goldstein · Membercontrol
      since 02/2011 · owns F of Cwa Holdings LLC
    • Sam Katzman · Membercontrol
      since 01/2008 · owns F of Cwa Holdings, LLC
    • Paul Eric Tramontano · Membercontrol
      since 01/2008 · owns F of Cwa Holdings, LLC
    • Robert Michael Gorczakowski · Cfo And Finop
      since 07/2009 · owns less than 5%
    Entity owners
    • Cwa Holdings, LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Constellation Wealth Advisors LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Menlo Park, CA
    What changed
    consecutive filings, newest first
    • Accounts · 4,226 to 4,576
      Jan 14, 2015 to Mar 31, 2015
    • Advisory employees · 26 to 28
      Jan 14, 2015 to Mar 31, 2015
    • BD registered reps · 27 to 28
      Jan 14, 2015 to Mar 31, 2015
    • Assets in custody · $460M to $546M
      Jan 14, 2015 to Mar 31, 2015
    • Financial planning clients · 101-250 to 251-500
      Jan 14, 2015 to Mar 31, 2015
    • Private funds · 2 to 1
      Jan 14, 2015 to Mar 31, 2015
    • Discretionary RAUM · $3.7B to $4.3B
      Jan 14, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $1.3B to $1.9B
      Jan 14, 2015 to Mar 31, 2015
    • RAUM · $5.0B to $6.2B
      Jan 14, 2015 to Mar 31, 2015
    • Accounts · 3,680 to 4,226
      Jan 21, 2014 to Mar 31, 2014
    • Advisory employees · 21 to 26
      Jan 21, 2014 to Mar 31, 2014
    • BD registered reps · 25 to 27
      Jan 21, 2014 to Mar 31, 2014
    • Assets in custody · $328M to $460M
      Jan 21, 2014 to Mar 31, 2014
    • Employees · 34 to 35
      Jan 21, 2014 to Mar 31, 2014
    • State-registered IARs · 13 to 14
      Jan 21, 2014 to Mar 31, 2014
    • Discretionary RAUM · $3.4B to $3.7B
      Jan 21, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $1.2B to $1.3B
      Jan 21, 2014 to Mar 31, 2014
    • RAUM · $4.6B to $5.0B
      Jan 21, 2014 to Mar 31, 2014
    • Discretionary RAUM · $1.2B to $3.4B
      Mar 28, 2013 to Apr 26, 2013
    • Non-discretionary RAUM · $3.4B to $1.2B
      Mar 28, 2013 to Apr 26, 2013
    • Accounts · 1,451 to 3,680
      Feb 6, 2013 to Mar 28, 2013
    • Advisory employees · 15 to 21
      Feb 6, 2013 to Mar 28, 2013
    • Advisory activities · 5 to 6
      Feb 6, 2013 to Mar 28, 2013
    • BD registered reps · 28 to 25
      Feb 6, 2013 to Mar 28, 2013
    • Assets in custody · unset to 328143675.0
      Feb 6, 2013 to Mar 28, 2013
    • Custody of client assets · false to true
      Feb 6, 2013 to Mar 28, 2013
    • Employees · 38 to 34
      Feb 6, 2013 to Mar 28, 2013
    • State-registered IARs · 15 to 13
      Feb 6, 2013 to Mar 28, 2013
    • Private funds · 4 to 2
      Feb 6, 2013 to Mar 28, 2013
    • Discretionary RAUM · $2.7B to $1.2B
      Feb 6, 2013 to Mar 28, 2013
    • Non-discretionary RAUM · $1.7B to $3.4B
      Feb 6, 2013 to Mar 28, 2013
    • RAUM · $4.4B to $4.6B
      Feb 6, 2013 to Mar 28, 2013
    • Related bank · false to true
      Feb 6, 2013 to Mar 28, 2013
    • Advisory employees · unset to 15.0
      Mar 29, 2012 to Feb 6, 2013
    • BD registered reps · unset to 28.0
      Mar 29, 2012 to Feb 6, 2013
    • Employees · unset to 38.0
      Mar 29, 2012 to Feb 6, 2013
    • State-registered IARs · unset to 15.0
      Mar 29, 2012 to Feb 6, 2013
    • Related adviser · false to true
      Mar 29, 2012 to Feb 6, 2013
    Signals
    No event on the tape.
    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
    Across the graphs

    Constellation Wealth Advisors LLC is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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