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
Arete Wealth Advisors, LLC
Latest filing Aug 17, 2026
First filing on the tape Nov 28, 2011 · 124 filings
SEC status approved since Jan 5, 2009
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$2.6B individuals and HNW
Advisors
143
registered through the firm on IAPD
RAUM per advisor
$19.2M
derived; firm RAUM over IAPD count
Employees
135
130 advisory (5.B.1)
Offices
26
beyond the principal office
Private funds
0
reported on Schedule D
History
124 filings and snapshots on the tape
RAUM$2.7B as of Aug 17, 2026
Feb 24, 2012$189M then
HNW client RAUM$2.0B as of Aug 17, 2026
Mar 30, 2018$999M then
State-registered IARs (5.B.3)135 as of Aug 17, 2026
Feb 5, 201341 then
Employees (5.A)135 as of Aug 17, 2026
Feb 5, 201343 then
Private funds: no history
RAUM -13% over the last fiscal year+9.1% a year over threeIARs 138 to 135
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $19.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $592,607derivedHNW RAUM over HNW clients
- Average account
- $506,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 5.3derived27 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
- Wrap fee program
- $732MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B74%
- Individuals$522M19%
- Corporations and businesses$173M6.3%
- Pension and profit-sharing plans$6.9M0.3%
- Charitable organizations$4.5M0.2%
- Individual clients
- 1,848reported
- HNW clients
- 3,441reported
- Pension plan clients
- 9reported
- Charitable clients
- 12reported
- Accounts
- 5,424reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=125.0derived
Advisors registered through the firm
143 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Roshan A Loungani | Vienna, Va | Mar 6, 2008 | 26 y | 2 |
| Jack Daniel Burk | Park Ridge, Il | Jun 27, 2008 | 21 y | 1 |
| David Mar | San Francisco, Ca | Mar 24, 2009 | 29 y | 3 |
| Craig Giovanni Bodden | San Francisco, Ca | May 1, 2009 | 27 y | 3 |
| Erik Craig Olson | Crystal Lake, Il | Apr 1, 2010 | 22 y | 1 |
| David Carl Hock | San Luis Obispo, Ca | Jun 7, 2010 | 33 y | 2 |
| Edmond James Ducett | Chicago, Il | Dec 13, 2010 | 16 y | 0 |
| Tucker Kenyon Bixby | Wenham, Ma | Jul 26, 2011 | 26 y | 2 |
| Danielle Mae Vandehaar | West Des Moines, Ia | Aug 24, 2012 | 18 y | 3 |
| Paul Hunt EspeyCertified Financial Planner | West Des Moines, Ia | Sep 5, 2012 | 21 y | 4 |
| Joshua Eric Cross | West Des Moines, Ia | Sep 5, 2012 | 22 y | 3 |
| Andrew Dorr | West Des Moines, Ia | Sep 6, 2012 | 19 y | 3 |
| Andrew David Kleis | West Des Moines, Ia | Sep 6, 2012 | 24 y | 3 |
| Benjamin L MorrowCertified Financial Planner | West Des Moines, Ia | Sep 6, 2012 | 16 y | 2 |
| Todd Christopher DoorenbosChartered Financial Analyst | West Des Moines, Ia | Feb 13, 2013 | 28 y | 2 |
| Avi J Bialo | Encino, Ca | Jun 17, 2013 | 17 y | 0 |
| Joshua Dean Rogers | Chicago, Il | Jun 26, 2013 | 27 y | 1 |
| Brenton William Collins | West Des Moines, Ia | Sep 23, 2014 | 21 y | 1 |
| Dennis Patrick Thurman | Sioux Falls, Sd | Mar 2, 2016 | 33 y | 2 |
| Adam Anthony Weingartner | Brentwood, Mo | Feb 22, 2017 | 19 y | 2 |
| Bradford Stuart Webb | Brentwood, Mo | Feb 23, 2017 | 18 y | 1 |
| Germaine Louise Broussard | Vienna, Va | Apr 4, 2017 | 30 y | 2 |
| Robert Allyn Fratkin | Vienna, Va | Apr 4, 2017 | 43 y | 2 |
| Daniel Clinton SmithPersonal Financial Specialist | West Des Moines, Ia | Sep 21, 2018 | 28 y | 0 |
| Hamilton Perkins Bouchelle Poynor | Birmingham, Al | Nov 14, 2018 | 33 y | 5 |
| Matthew Edward RobersonCertified Financial Planner | Los Gatos, Ca | May 7, 2019 | 27 y | 1 |
| Daniel Lozano Diaz | Los Gatos, Ca | Aug 27, 2019 | 11 y | 1 |
| Robert Boris Geller | Park Ridge, Il | Mar 17, 2020 | 35 y | 4 |
| Jason Christopher Knapp | Pittsburgh, Pa | Sep 10, 2020 | 14 y | 0 |
| Daniel Charles Southworth | Ponte Vedra Beach, Fl | Oct 28, 2020 | 15 y | 2 |
| Nicholas Gregg Boetjer | Arroyo Grande, Ca | Jan 15, 2021 | 20 y | 3 |
| Adrian Kahlil Nicholson | Vienna, Va | Jan 26, 2021 | 11 y | 0 |
| Joseph Everett Mckinley | Ponte Vedra Beach, Fl | Jan 12, 2022 | 12 y | 0 |
| Jeb Roger Kirkpatrick | Oklahoma City, Ok | Jul 19, 2022 | 36 y | 1 |
| Abhishek Umesh Sheth | New York, Ny | Jul 19, 2022 | 23 y | 2 |
| Robert Abramowitz | Melville, Ny | Jul 19, 2022 | 24 y | 3 |
| Peter Elliot Marshall | Melville, Ny | Jul 19, 2022 | 34 y | 1 |
| Dianne Marie Larson | Melville, Ny | Jul 19, 2022 | 22 y | 3 |
| Michael Andrew Black | Melville, Ny | Jul 19, 2022 | 42 y | 1 |
| Christopher Edward Bond | Melville, Ny | Jul 20, 2022 | 23 y | 1 |
Advisor movement
9 left, 14 joined in 12 months
net +5 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 6.3% of current headcount54 left over 36 months
Left, latest
- Richard Clinton Sands to Arkadios Wealth AdvisorsMay 1, 2026 · Affiliated broker-dealer or bank to another
- Joseph Dain Duplechain to LPL Financial LLCApr 23, 2026 · Affiliated broker-dealer or bank to another
- Christian Alexander Bulla to D.A. Davidson & Co.Apr 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kraig Richard Mickelsen to Krm Financial Planning & Wealth Management, LLCMar 23, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Robert Matthew Sweas to Krm Financial Planning & Wealth Management, LLCMar 23, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- Nandan Jagdish Shah to Cura Wealth Advisors, LLCJan 8, 2026 · Other
- Frederick Maximilian Kort to Cura Wealth Advisors, LLCJan 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Monica Moose to Ausdal Financial Partners, Inc.Oct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Patrick Bryan Healey to Caliber Investment Advisors, LLCSep 26, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Joseph Mario Persiano to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 28, 2025 · Affiliated broker-dealer or bank to wirehouse
- William Samuel Borleis to Cabin Advisors, LLCMay 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Walter Vincent Nelson to Cabin Advisors, LLCMay 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- James Nicholas Sarandis to Cabin Advisors, LLCMay 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Logan D Cox to Cabin Advisors, LLCMay 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Brandon Disimone to Thrivent Investment Management Inc.Apr 22, 2025 · Affiliated broker-dealer or bank to another
Joined, latest
- Olesia Rasiuk from Morgan StanleyAug 21, 2026 · Wirehouse to affiliated broker-dealer or bank
- Wynton Blount from StephensAug 3, 2026 · Affiliated broker-dealer or bank to another
- Rene Hernandez from Ernst & Young Investment Advisers LlpJul 16, 2026 · Other
- Melissa Shaw-Patino from Neuberger Berman Bd LLCJun 18, 2026 · Other
- John Benjamin Nelson from Ameriprise Financial Services, LLCMay 6, 2026 · Affiliated broker-dealer or bank to another
- Rebecca Lee Jin from J.P. Morgan Securities LLCMar 18, 2026 · Wirehouse to affiliated broker-dealer or bank
- Joseph Ryan Cutler from Wells Fargo AdvisorsMar 13, 2026 · Wirehouse to affiliated broker-dealer or bank
- Christopher Michael Fehr from Lion Street Advisors, LLCFeb 2, 2026 · Affiliated broker-dealer or bank to another
- Riley Francis from D.A. Davidson & Co.Jan 28, 2026 · RIA to affiliated broker-dealer or bank
- Anthony John Santarpia from A.G.P / Alliance Global PartnersJan 9, 2026 · RIA to affiliated broker-dealer or bank
- David Alexander Narish from Center Street Advisors, Inc.Jan 5, 2026 · RIA to affiliated broker-dealer or bank
- Richard Raymond Brown from Osaic Fa, Inc.Dec 21, 2025 · Affiliated broker-dealer or bank to another
- Bryson Scott Walker from J.P. Morgan Securities LLCNov 13, 2025 · Wirehouse to affiliated broker-dealer or bank
- Henry James Zhai from Cetera Investment Advisers LLCOct 22, 2025 · Affiliated broker-dealer or bank to another
- Richard Clinton Sands from Citigroup Global Markets Inc.Aug 26, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Krm Financial Planning & Wealth Management, LLCMar 23, 2026 · Chicago, Il
- 2 left for Cura Wealth Advisors, LLCJan 8, 2026 · Chicago, Il
- 2 left for Cabin Advisors, LLCMay 1, 2025 · Chicago, Il
- 5 left for 25 FinancialOct 27, 2023 · St Louis, Mo
- 3 left for Masterworks Advisers, LLCJun 29, 2023 · Chicago, Il
- 11 left for Masterworks Advisers, LLCJun 29, 2023 · New York, Ny
- 2 left for 25 FinancialDec 31, 2022 · Chicago, Il
- 2 left for Aza Capital ManagementNov 1, 2019 · Grand Rapids, Mi
- 6 joined from B. Riley Wealth Advisors, Inc.Nov 26, 2024 · Jersey City, Nj
- 4 joined from Center Street Advisors, Inc.Nov 8, 2023 · Nashville, Tn · Firm absorbed
- 3 joined from Center Street Advisors, Inc.Jul 11, 2023 · St Louis, Mo
- 2 joined from Center Street Advisors, Inc.Jun 22, 2023 · Naples, Fl
- 12 joined from Center Street Advisors, Inc.Jun 13, 2023 · Nashville, Tn
- 2 joined from Financial Resource Management, Inc.Dec 31, 2022 · Memphis, Tn
- 2 joined from Axxcess Wealth Management, LLCDec 31, 2021 · Carlsbad, Ca
- 2 joined from Iht Wealth Management LLCSep 23, 2021 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Carl David Hock · Chief Financial Officercontrolsince 10/2008 · owns less than 5%
- Charles David Levine · Ceocontrolsince 01/2026 · owns less than 5%
- Dean Joshua Rogers · Presidentcontrolsince 11/2007 · owns 25% to 50%
- Unbo Chung · Chief Compliance Officersince 01/2014 · owns less than 5%
- Catherine Cucharale · Chief Compliance Officersince 08/2026 · owns less than 5%
- Carl David Hock · Managing Membersince 11/2008 · owns 25% to 50% of Old Growth Capital, LLC
- Dean Joshua Rogers · Managing Membersince 11/2007 · owns 25% to 50% of Old Growth Capital, LLC
- Dean Joshua Rogers · Membersince 11/2008 · owns 25% to 50% of Jd Rogers & Company, LLC
Entity owners
- Arete Wealth Inc. · Managing Memberdirect · owns 75% or more
- Arete Wealth Inc. · Managing Memberindirect · owns 75% or more of Arete Wealth Inc.
- Jdrogers & Company, LLC · Memberindirect · owns 25% to 50% of Old Growth Capital, LLC
Related persons
Schedule D 7.A
- Arete Wealth Management, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Melville, Ny | 25 | 4 | 0 | ||
| Chicago, Il · principal | 21 | 3 | 5 | 2 | |
| New York, Ny | 19 | 7 | 0 | ||
| West Des Moines, Ia | 14 | 2 | 0 | ||
| Jersey City, Nj | 10 | 3 | 0 | ||
| Knoxville, Tn | 5 | 0 | 0 | ||
| San Francisco, Ca | 4 | 0 | 0 | ||
| Ponte Vedra Beach, Fl | 4 | 2 | 0 | ||
| Vienna, Va | 4 | 0 | 0 | ||
| Park Ridge, Il | 3 | 1 | 0 | ||
| Opelousas, La | 3 | 0 | 0 | ||
| Brentwood, Mo | 2 | 0 | 0 | ||
| Woodstock, Ga | 2 | 0 | 0 | ||
| Charlotte, Nc | 2 | 1 | 0 | ||
| Defuniak Springs, Fl | 2 | 0 | 0 | ||
| Los Gatos, Ca | 2 | 0 | 0 | ||
| Gilbert, Az | 2 | 0 | 0 | ||
| Memphis, Tn | 2 | 0 | 0 | ||
| White Plains, Ny | 2 | 0 | 0 | ||
| Birmingham, Al | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Melville, NY19 employees
- New York, NY9 employees
- West Des Moines, IA7 employees
- San Francisco, CA5 employees
- Park Ridge, IL5 employees
- St. Charles, IL4 employees
- West Des Moines, IA4 employees
- Knoxville, TN4 employees
- Vienna, VA3 employees
- Annapolis, MD3 employees
- Ponte Vedra Beach, FL2 employees
- Creve Coeur, MO2 employees
- Memphis, TN2 employees
- Crystal Lake, IL2 employees
- Woodstock, GA2 employees
- Frankfort, IL2 employees
- Defuniak Springs, FL2 employees
- Chicago, IL2 employees
- Nashville, TN1 employees
- Los Gatos, CA1 employees
- Englewood, CO1 employees
- White Plains, NY1 employees
- Sunrise, FL1 employees
- Los Angeles, CA1 employees
- Metairie, LA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 17, 2026LEVINE, DAVID, CHARLES (CEO) appeared on Schedule A between the filings of 2021-03-31 and 2026-08-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 17, 2026ROGERS, JOSHUA, DEAN (PRESIDENT) left Schedule A between the filings of 2021-03-31 and 2026-08-17peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 5,837 to 5,424Dec 17, 2025 to Feb 6, 2026
- BD registered reps · 127 to 125Dec 17, 2025 to Feb 6, 2026
- Charity clients · 8 to 12Dec 17, 2025 to Feb 6, 2026
- Corporate clients · 128 to 116Dec 17, 2025 to Feb 6, 2026
- HNW clients · 3,889 to 3,441Dec 17, 2025 to Feb 6, 2026
- Individual clients · 1,802 to 1,848Dec 17, 2025 to Feb 6, 2026
- Pension plan clients · 10 to 9Dec 17, 2025 to Feb 6, 2026
- Employees · 138 to 135Dec 17, 2025 to Feb 6, 2026
- Insurance-licensed employees · 2 to 4Dec 17, 2025 to Feb 6, 2026
- State-registered IARs · 138 to 135Dec 17, 2025 to Feb 6, 2026
- Discretionary RAUM · $3.2B to $2.7BDec 17, 2025 to Feb 6, 2026
- HNW RAUM · $2.5B to $2.0BDec 17, 2025 to Feb 6, 2026
- Individual RAUM · $495M to $522MDec 17, 2025 to Feb 6, 2026
- Pension RAUM · $14.1M to $6.9MDec 17, 2025 to Feb 6, 2026
- RAUM · $3.2B to $2.7BDec 17, 2025 to Feb 6, 2026
- Accounts · 5,251 to 5,837Aug 15, 2024 to Apr 1, 2025
- Advisory employees · 124 to 130Aug 15, 2024 to Apr 1, 2025
- BD registered reps · 117 to 127Aug 15, 2024 to Apr 1, 2025
- Charity clients · 0 to 8Aug 15, 2024 to Apr 1, 2025
- Corporate clients · 64 to 128Aug 15, 2024 to Apr 1, 2025
- HNW clients · 3,771 to 3,889Aug 15, 2024 to Apr 1, 2025
- Individual clients · 1,408 to 1,802Aug 15, 2024 to Apr 1, 2025
- Pension plan clients · 8 to 10Aug 15, 2024 to Apr 1, 2025
- Employees · 130 to 138Aug 15, 2024 to Apr 1, 2025
- Financial planning clients · 51-100 to 51-100Aug 15, 2024 to Apr 1, 2025
- State-registered IARs · 130 to 138Aug 15, 2024 to Apr 1, 2025
- Discretionary RAUM · $2.7B to $3.2BAug 15, 2024 to Apr 1, 2025
- HNW RAUM · $2.2B to $2.5BAug 15, 2024 to Apr 1, 2025
- Individual RAUM · $406M to $495MAug 15, 2024 to Apr 1, 2025
- Pension RAUM · $7.2M to $14.1MAug 15, 2024 to Apr 1, 2025
- RAUM · $2.7B to $3.2BAug 15, 2024 to Apr 1, 2025
- Accounts · 5,102 to 5,251Nov 15, 2023 to Mar 28, 2024
- Advisory employees · 146 to 124Nov 15, 2023 to Mar 28, 2024
- BD registered reps · 126 to 117Nov 15, 2023 to Mar 28, 2024
- Charity clients · unset to 0.0Nov 15, 2023 to Mar 28, 2024
- Corporate clients · 61 to 64Nov 15, 2023 to Mar 28, 2024
- HNW clients · 3,679 to 3,771Nov 15, 2023 to Mar 28, 2024
- Individual clients · 1,359 to 1,408Nov 15, 2023 to Mar 28, 2024
- Pension plan clients · unset to 8.0Nov 15, 2023 to Mar 28, 2024
- Employees · 151 to 130Nov 15, 2023 to Mar 28, 2024
Signals
60 dated events
- Richard Clinton Sands left Arete Wealth Advisors, Llc for Arkadios Wealth Advisors (registered 2026-06-03)May 1, 2026 · Advisor changed firm · fact
- Joseph Dain Duplechain left Arete Wealth Advisors, Llc for Lpl Financial Llc (registered 2026-04-23)Apr 23, 2026 · Advisor changed firm · fact
- Christian Alexander Bulla left Arete Wealth Advisors, Llc for D.A. Davidson & Co. (registered 2026-05-04)Apr 14, 2026 · Advisor changed firm · fact
- 2 advisors left Arete Wealth Advisors, LLC (Chicago, IL) for Krm Financial Planning & Wealth Management, LLC on the same dayMar 23, 2026 · Team lift-out · derived
- Kraig Richard Mickelsen left Arete Wealth Advisors, Llc for Krm Financial Planning & Wealth Management, Llc (registered 2026-01-02)Mar 23, 2026 · Advisor changed firm · fact
- Robert Matthew Sweas left Arete Wealth Advisors, Llc for Krm Financial Planning & Wealth Management, Llc (registered 2026-01-02)Mar 23, 2026 · Advisor changed firm · fact
- 2 advisors left Arete Wealth Advisors, LLC (Chicago, IL) for Cura Wealth Advisors, LLC on the same dayJan 8, 2026 · Team lift-out · derived
- Frederick Maximilian Kort left Arete Wealth Advisors, Llc for Cura Wealth Advisors, Llc (registered 2025-04-29)Jan 8, 2026 · Advisor changed firm · fact
- Nandan Jagdish Shah left Arete Wealth Advisors, Llc for Cura Wealth Advisors, Llc (registered 2024-08-16)Jan 8, 2026 · Advisor changed firm · fact
- Monica Moose left Arete Wealth Advisors, Llc for Ausdal Financial Partners, Inc. (registered 2025-10-01)Oct 1, 2025 · Advisor changed firm · fact
- Patrick Bryan Healey left Arete Wealth Advisors, Llc for Caliber Investment Advisors, Llc (registered 2026-03-30)Sep 26, 2025 · Advisor changed firm · fact
- Joseph Mario Persiano left Arete Wealth Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-07-01)May 28, 2025 · Advisor changed firm · fact
- Logan D Cox left Arete Wealth Advisors, Llc for Cabin Advisors, Llc (registered 2026-01-08)May 1, 2025 · Advisor changed firm · fact
- William Samuel Borleis left Arete Wealth Advisors, Llc for Cabin Advisors, Llc (registered 2025-04-02)May 1, 2025 · Advisor changed firm · fact
- Walter Vincent Nelson left Arete Wealth Advisors, Llc for Cabin Advisors, Llc (registered 2025-09-17)May 1, 2025 · Advisor changed firm · fact
- James Nicholas Sarandis left Arete Wealth Advisors, Llc for Cabin Advisors, Llc (registered 2025-05-29)May 1, 2025 · Advisor changed firm · fact
- 3 advisors left Arete Wealth Advisors, LLC (Chicago, IL) for Cabin Advisors, LLC on the same dayMay 1, 2025 · Team lift-out · derived
- Brandon Disimone left Arete Wealth Advisors, Llc for Thrivent Investment Management Inc. (registered 2025-05-16)Apr 22, 2025 · Advisor changed firm · fact
- Mario Govic left Arete Wealth Advisors, Llc for Ausdal Financial Partners, Inc. (registered 2025-04-04)Apr 8, 2025 · Advisor changed firm · fact
- Woodrow Wilson Willey left Arete Wealth Advisors, Llc for A.G.P / Alliance Global Partners (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- Nilos Theodore Sakellariou left Arete Wealth Advisors, Llc for A.G.P / Alliance Global Partners (registered 2025-02-03)Mar 3, 2025 · Advisor changed firm · fact
- Dung Tien Huynh left Arete Wealth Advisors, Llc for Empower Advisory Group, Llc (registered 2026-05-15)Jan 10, 2025 · Advisor changed firm · fact
- 6 advisors left B. Riley Wealth Advisors, Inc. (Jersey City, NJ) for Arete Wealth Advisors, LLC on the same dayNov 26, 2024 · Team lift-out · derived
- Daniel Gerard Meehan left Arete Wealth Advisors, Llc for Bfc Planning, Inc. (registered 2024-11-13)Oct 28, 2024 · Advisor changed firm · fact
- Dennis Shane Mcmillan left Arete Wealth Advisors, Llc for Portside Wealth Group, Llc (registered 2024-10-28)Oct 4, 2024 · Advisor changed firm · fact
- Joshua M. Moody left Arete Wealth Advisors, Llc for Creativeone Wealth, Llc (registered 2026-01-01)Sep 9, 2024 · Advisor changed firm · fact
- Ira Gary Chernick left Arete Wealth Advisors, Llc for Lpl Financial Llc (registered 2024-07-23)Jul 22, 2024 · Advisor changed firm · fact
- Joshua Thornhill left Arete Wealth Advisors, Llc for Lpl Financial Llc (registered 2024-07-17)Jul 17, 2024 · Advisor changed firm · fact
- Brittani Corren Schaefer left Arete Wealth Advisors, Llc for Rfg Advisory, Llc (registered 2024-04-30)May 15, 2024 · Advisor changed firm · fact
- Justin Scott Mackie left Arete Wealth Advisors, Llc for Dai Wealth, Llc (registered 2024-05-29)May 15, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Arete Wealth Advisors, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 847-268-3670reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- pfswm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-940-3684reportedpublic record, Form ADV, Aug 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026