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
D'Annunzio Consulting Group, LLC
Latest filing Mar 25, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Jul 12, 2007
RAUM
$1.9B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
76%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.9B as of Mar 25, 2026
Mar 29, 2012$1.3B then
HNW client RAUM$1.4B as of Mar 25, 2026
Mar 31, 2018$1.4B then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 25, 2026
Mar 27, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+7.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $950MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $45.2MderivedHNW RAUM over HNW clients
- Average account
- $46.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.3%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $45.9M, 24 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B76%
- Charitable organizations$451M24%
- Individuals$3.2M0.2%
- Individual clients
- 6reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 41reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.9M for 24 clientsreported
- Compensation
- fixedreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Sharon Lee Cooper to Aerie Advisory Group LLCJul 27, 2026 · RIA to RIA
- Holly Foss D'Annunzio to Aerie Advisory Group LLCJul 27, 2026 · RIA to RIA
Joined, latest
- Holly Foss D'Annunzio from Ctc Consulting, Inc.Jul 13, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Aerie Advisory Group LLCJul 27, 2026 · Gig Harbor, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Foss Holly D'Annunzio · Managing Member And Chief Compliance Officercontrolsince 06/2007 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Gig Harbor, Wa | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 41Mar 21, 2025 to Mar 25, 2026
- HNW clients · 34 to 32Mar 21, 2025 to Mar 25, 2026
- Individual clients · 7 to 6Mar 21, 2025 to Mar 25, 2026
- Assets in custody · $43.0M to $45.9MMar 21, 2025 to Mar 25, 2026
- HNW RAUM · $1.3B to $1.4BMar 21, 2025 to Mar 25, 2026
- Individual RAUM · $2.6M to $3.2MMar 21, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.7B to $1.9BMar 21, 2025 to Mar 25, 2026
- RAUM · $1.7B to $1.9BMar 21, 2025 to Mar 25, 2026
- Accounts · 46 to 44Mar 21, 2024 to Mar 21, 2025
- Individual clients · 9 to 7Mar 21, 2024 to Mar 21, 2025
- Assets in custody · $40.6M to $43.0MMar 21, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 21, 2025
- HNW RAUM · $1.2B to $1.3BMar 21, 2024 to Mar 21, 2025
- Individual RAUM · $3.1M to $2.6MMar 21, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $1.6B to $1.7BMar 21, 2024 to Mar 21, 2025
- RAUM · $1.6B to $1.7BMar 21, 2024 to Mar 21, 2025
- Accounts · 45 to 46Mar 28, 2023 to Mar 21, 2024
- HNW clients · 32 to 34Mar 28, 2023 to Mar 21, 2024
- Individual clients · 10 to 9Mar 28, 2023 to Mar 21, 2024
- Assets in custody · $81.3M to $40.6MMar 28, 2023 to Mar 21, 2024
- HNW RAUM · $1.2B to $1.2BMar 28, 2023 to Mar 21, 2024
- Individual RAUM · $4.3M to $3.1MMar 28, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $1.5B to $1.6BMar 28, 2023 to Mar 21, 2024
- RAUM · $1.5B to $1.6BMar 28, 2023 to Mar 21, 2024
- Accounts · 43 to 45Mar 22, 2022 to Mar 28, 2023
- Individual clients · 8 to 10Mar 22, 2022 to Mar 28, 2023
- Assets in custody · $60.3M to $81.3MMar 22, 2022 to Mar 28, 2023
- Employees · 5 to 4Mar 22, 2022 to Mar 28, 2023
- HNW RAUM · $1.4B to $1.2BMar 22, 2022 to Mar 28, 2023
- Individual RAUM · $3.7M to $4.3MMar 22, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $1.8B to $1.5BMar 22, 2022 to Mar 28, 2023
- RAUM · $1.8B to $1.5BMar 22, 2022 to Mar 28, 2023
- Accounts · 44 to 43Jun 24, 2021 to Mar 22, 2022
- Advisory activities · 4 to 5Jun 24, 2021 to Mar 22, 2022
- Individual clients · 9 to 8Jun 24, 2021 to Mar 22, 2022
- Assets in custody · $30.9M to $60.3MJun 24, 2021 to Mar 22, 2022
- Discretionary RAUM · $1.7B to $0Jun 24, 2021 to Mar 22, 2022
- HNW RAUM · $1.3B to $1.4BJun 24, 2021 to Mar 22, 2022
- Individual RAUM · $4.5M to $3.7MJun 24, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $0 to $1.8BJun 24, 2021 to Mar 22, 2022
Signals
4 dated events
- D'Annunzio Consulting Group, Llc no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $1.9B)Aug 3, 2026 · Left the SEC roster · derived
- Sharon Lee Cooper left D'Annunzio Consulting Group, Llc for Aerie Advisory Group Llc (registered 2026-07-13)Jul 27, 2026 · Advisor changed firm · fact
- Holly Foss D'Annunzio left D'Annunzio Consulting Group, Llc for Aerie Advisory Group Llc (registered 2026-07-22)Jul 27, 2026 · Advisor changed firm · fact
- 2 advisors left D'Annunzio Consulting Group, LLC (Gig Harbor, WA) for Aerie Advisory Group LLC on the same dayJul 27, 2026 · Team lift-out · 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