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
Convergence Investment Partners, LLC
Latest filing Mar 23, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Oct 28, 2008
RAUM
$524M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
32%
$166M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$524M as of Mar 23, 2026
Mar 28, 2012$159M then
HNW client RAUM$166M as of Mar 23, 2026
Mar 29, 2018$152M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 20, 20134 then
Employees (5.A)5 as of Mar 23, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+37% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 23, 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
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $739,613derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 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
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$268M51%
- High-net-worth individuals$166M32%
- Other investment advisers$45.7M8.7%
- Charitable organizations$38.4M7.3%
- Insurance companies$3.6M0.7%
- Corporations and businesses$2.1M0.4%
- Individual clients
- 0reported
- HNW clients
- 224reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 447reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $45.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.32 fund_share=0.6 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Todd John Hanson | Palm Beach Gardens, Fl | Jul 2, 2019 | 17 y | 0 |
| Justin Evans NeubergChartered Financial Analyst | Palm Beach Gardens, Fl | Jul 10, 2019 | 13 y | 1 |
| David James AbitzChartered Financial Analyst | Palm Beach Gardens, Fl | Sep 4, 2019 | 31 y | 2 |
| John Christopher CallenChartered Financial Analyst | Palm Beach Gardens, Fl | Aug 22, 2022 | 26 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- John Christopher Callen from Woodhill Asset Management LLCAug 22, 2022 · Other
- David James Abitz from Qis Advisors LLCSep 4, 2019 · Other
- Justin Evans Neuberg from MarinerJul 10, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kristina Amy Abitz Schwalenberg · Chief Operating Officercontrolsince 12/2023 · owns less than 5%
- James David Abitz · President And Chief Investment Officercontrolsince 08/2008 · owns less than 5%
- Jefferson Henry Brandon · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- Christopher John Callen · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- Kim Huyen Gerbereux · Directorcontrolsince 03/2021 · owns less than 5%
- John Todd Hanson · Chief Technology Officercontrolsince 08/2008 · owns 5% to 10%
- James David Abitz · Trusteecontrolsince 10/2014 · owns F of David And Sheila Abitz Revocable Trust Dated October 11, 2014
- Duane Melvin Lindsey · Managing Membercontrolsince 09/2019 · owns 50% to 75% of Nile Capital Group Holdings, LLC
- Evans Justin Neuberg · Portfolio Managersince 06/2016 · owns 5% to 10%
Entity owners
- Nile Capital Group, LLC · Memberdirect · owns 50% to 75%
- Nile Capital Group Holdings, LLC · Managing Memberindirect · owns F of Nile Capital Group, LLC
- David And Sheila Abitz Revocable Trust Dated October 11, 2014 · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 360 to 447Mar 10, 2025 to Mar 23, 2026
- Charity clients · unset to 5.0Mar 10, 2025 to Mar 23, 2026
- Corporate clients · 5.0 to unsetMar 10, 2025 to Mar 23, 2026
- HNW clients · 221 to 224Mar 10, 2025 to Mar 23, 2026
- Employees · 6 to 5Mar 10, 2025 to Mar 23, 2026
- Discretionary RAUM · $439M to $478MMar 10, 2025 to Mar 23, 2026
- HNW RAUM · $163M to $166MMar 10, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $25.9M to $45.7MMar 10, 2025 to Mar 23, 2026
- RAUM · $465M to $524MMar 10, 2025 to Mar 23, 2026
- Wrap assets (manager) · $25.9M to $45.7MMar 10, 2025 to Mar 23, 2026
- Accounts · 349 to 360Mar 27, 2024 to Mar 10, 2025
- Corporate clients · 6 to 5Mar 27, 2024 to Mar 10, 2025
- HNW clients · 237 to 221Mar 27, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 10, 2025
- Discretionary RAUM · $216M to $439MMar 27, 2024 to Mar 10, 2025
- HNW RAUM · $147M to $163MMar 27, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $18.0M to $25.9MMar 27, 2024 to Mar 10, 2025
- RAUM · $234M to $465MMar 27, 2024 to Mar 10, 2025
- Wrap assets (manager) · $18.0M to $25.9MMar 27, 2024 to Mar 10, 2025
- Accounts · 336 to 349May 31, 2023 to Mar 27, 2024
- HNW clients · 244 to 237May 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $191M to $216MMay 31, 2023 to Mar 27, 2024
- HNW RAUM · $131M to $147MMay 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $12.6M to $18.0MMay 31, 2023 to Mar 27, 2024
- RAUM · $203M to $234MMay 31, 2023 to Mar 27, 2024
- Wrap assets (manager) · $12.6M to $18.0MMay 31, 2023 to Mar 27, 2024
- Accounts · 280 to 336Nov 8, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Nov 8, 2022 to Mar 31, 2023
- Corporate clients · 7 to 6Nov 8, 2022 to Mar 31, 2023
- HNW clients · 238 to 244Nov 8, 2022 to Mar 31, 2023
- Employees · 9 to 6Nov 8, 2022 to Mar 31, 2023
- State-registered IARs · 5 to 4Nov 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $220M to $191MNov 8, 2022 to Mar 31, 2023
- HNW RAUM · $147M to $131MNov 8, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $6.4M to $12.6MNov 8, 2022 to Mar 31, 2023
- RAUM · $226M to $203MNov 8, 2022 to Mar 31, 2023
- Wrap assets (manager) · $6.4M to $12.6MNov 8, 2022 to Mar 31, 2023
- Accounts · 267 to 280Mar 9, 2021 to Feb 28, 2022
- Advisory employees · 4 to 3Mar 9, 2021 to Feb 28, 2022
- Corporate clients · 14 to 7Mar 9, 2021 to Feb 28, 2022
Signals
12 dated events
- Convergence Investment Partners, Llc reported RAUM $464.8M, up 99% from $233.5M (2024-03-27 to 2025-03-10)Mar 10, 2025 · RAUM change · derived
- Kristina Amy Abitz Schwalenberg (Chief Operating Officer) appeared on Schedule A of Convergence Investment Partners, LlcMar 27, 2024 · Control person joined · fact
- Eugene Kenneth Mayer (Chief Compliance Officer) no longer on Schedule A of Convergence Investment Partners, Llc (listed 2022-02-28, absent 2022-08-02)Aug 2, 2022 · Control person left · inference
- Christopher John Callen (Chief Compliance Officer) appeared on Schedule A of Convergence Investment Partners, LlcAug 2, 2022 · Control person joined · fact
- Jefferson Henry Brandon (Chief Financial Officer) appeared on Schedule A of Convergence Investment Partners, LlcFeb 28, 2022 · Control person joined · fact
- Kim Huyen Gerbereux (Director) appeared on Schedule A of Convergence Investment Partners, LlcFeb 28, 2022 · Control person joined · fact
- Prasad Nanisetty (Director) no longer on Schedule A of Convergence Investment Partners, Llc (listed 2021-03-09, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- Convergence Investment Partners, Llc reported RAUM $224.6M, down 35% from $343.9M (2020-07-06 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
- Eugene Kenneth Mayer (Chief Compliance Officer) appeared on Schedule A of Convergence Investment Partners, LlcJul 6, 2020 · Control person joined · fact
- J Bethanie Glawson (Chief Compliance Officer) no longer on Schedule A of Convergence Investment Partners, Llc (listed 2020-06-29, absent 2020-07-06)Jul 6, 2020 · Control person left · inference
- Convergence Investment Partners, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 1, 2019 · Succession (Item 4) · fact
- Joseph Brett Gallagher (Chief Executive Officer) no longer on Schedule A of Convergence Investment Partners, Llc (listed 2018-10-19, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/CONVERGENCE-INVESTMENT-PARTNERSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- INVESTCIP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 561-494-8001reportedpublic record, Form ADV, Mar 23, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026