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

Emergingwealth Investment Management, Inc.

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 151471SEC 801-70731IAPD
Latest filing Sep 1, 2023
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$22.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$22.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$22.2M as of Mar 31, 2023
Mar 30, 2012$3.7M then
HNW client RAUM$5.0M as of Mar 31, 2023
Mar 29, 2019$2.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2023
Mar 22, 20137 then
Private funds: no history
RAUM -8.4% over the last fiscal year+5.3% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Sep 1, 2023; every figure names its basis
RAUM per advisor
$22.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$161,162derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$17.2M77%
  • High-net-worth individuals$5.0M23%
Individual clients
37reported
HNW clients
4reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
138reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jude James Holtzman · President/Ceo/Ccocontrol
    since 02/2022 · owns 50% to 75%
  • J Christopher Kail · Owner And Director Of Marketingcontrol
    since 05/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Pittsburgh, Pa · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 141 to 138
    Apr 13, 2022 to Mar 31, 2023
  • Advisory activities · 1 to 3
    Apr 13, 2022 to Mar 31, 2023
  • HNW clients · 5 to 4
    Apr 13, 2022 to Mar 31, 2023
  • Individual clients · 32 to 37
    Apr 13, 2022 to Mar 31, 2023
  • Financial planning clients · unset to 0
    Apr 13, 2022 to Mar 31, 2023
  • State-registered IARs · 0 to 1
    Apr 13, 2022 to Mar 31, 2023
  • Discretionary RAUM · $22.9M to $22.2M
    Apr 13, 2022 to Mar 31, 2023
  • HNW RAUM · $6.7M to $5.0M
    Apr 13, 2022 to Mar 31, 2023
  • Individual RAUM · $16.2M to $17.2M
    Apr 13, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $1.4M to $0
    Apr 13, 2022 to Mar 31, 2023
  • RAUM · $24.3M to $22.2M
    Apr 13, 2022 to Mar 31, 2023
  • Advisory employees · 2 to 1
    Mar 26, 2022 to Apr 13, 2022
  • Employees · 2 to 1
    Mar 26, 2022 to Apr 13, 2022
  • Accounts · 143 to 141
    Nov 15, 2021 to Mar 26, 2022
  • Individual clients · 37 to 32
    Nov 15, 2021 to Mar 26, 2022
  • Discretionary RAUM · $24.5M to $22.9M
    Nov 15, 2021 to Mar 26, 2022
  • HNW RAUM · $6.2M to $6.7M
    Nov 15, 2021 to Mar 26, 2022
  • Individual RAUM · $18.4M to $16.2M
    Nov 15, 2021 to Mar 26, 2022
  • Non-discretionary RAUM · $1.6M to $1.4M
    Nov 15, 2021 to Mar 26, 2022
  • RAUM · $26.1M to $24.3M
    Nov 15, 2021 to Mar 26, 2022
  • Advisory employees · 0 to 2
    May 27, 2021 to Nov 15, 2021
  • Individual clients · 134 to 37
    May 27, 2021 to Nov 15, 2021
  • Employees · 8 to 2
    May 27, 2021 to Nov 15, 2021
  • Accounts · 122 to 143
    Dec 17, 2020 to Mar 31, 2021
  • HNW clients · 2 to 5
    Dec 17, 2020 to Mar 31, 2021
  • Individual clients · 38 to 134
    Dec 17, 2020 to Mar 31, 2021
  • Discretionary RAUM · $17.6M to $24.5M
    Dec 17, 2020 to Mar 31, 2021
  • HNW RAUM · $2.3M to $6.2M
    Dec 17, 2020 to Mar 31, 2021
  • Individual RAUM · $15.2M to $18.4M
    Dec 17, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $1.5M to $1.6M
    Dec 17, 2020 to Mar 31, 2021
  • RAUM · $19.1M to $26.1M
    Dec 17, 2020 to Mar 31, 2021
  • Advisory employees · 1 to 0
    Aug 7, 2020 to Dec 17, 2020
  • Employees · 9 to 8
    Aug 7, 2020 to Dec 17, 2020
  • Advisory employees · 2 to 1
    Jun 30, 2020 to Aug 7, 2020
  • Employees · 10 to 9
    Jun 30, 2020 to Aug 7, 2020
  • Accounts · 83 to 122
    Mar 29, 2019 to May 15, 2020
  • Advisory employees · 5 to 2
    Mar 29, 2019 to May 15, 2020
  • Charity clients · unset to 0.0
    Mar 29, 2019 to May 15, 2020
  • Corporate clients · unset to 0.0
    Mar 29, 2019 to May 15, 2020
  • Individual clients · 28 to 38
    Mar 29, 2019 to May 15, 2020
Signals
2 dated events
  • James Jude Holtzman no longer registered at Emergingwealth Investment Management, Inc.; no later IA registration on IAPD
    Mar 11, 2024 · Advisor departure · fact
  • Peter Louis Stanasolovich (President, Chief Executive Officer, Chief Compliance Officer) no longer on Schedule A of Emergingwealth Investment Management, Inc. (listed 2021-11-15, absent 2022-03-26)
    Mar 26, 2022 · 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.
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