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
Gateway Advisory, LLC
Latest filing Mar 28, 2024
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jan 4, 2010
RAUM
$744M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$740M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$744M as of Mar 28, 2024
Mar 29, 2012$224M then
HNW client RAUM$590M as of Mar 28, 2024
Mar 21, 2018$334M then
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Mar 29, 20120 then
Employees (5.A)8 as of Mar 28, 2024
Mar 25, 20136 then
Private funds: no history
RAUM +17% over the last fiscal year+2.8% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $325,349derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$590M79%
- Individuals$151M20%
- Corporations and businesses$3.0M0.4%
- Charitable organizations$370,6030.0%
- Individual clients
- 439reported
- HNW clients
- 227reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,286reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Brian James Power to Bcg Securities, Inc.Feb 7, 2025 · Other
- Jay Harold Flamme to Bcg Securities, Inc.Feb 7, 2025 · Other
- Glenn Alan Blachman to Bcg Securities, Inc.Feb 7, 2025 · Other
- Gonzalo A Figueroa Ortega to Osaic Wealth, Inc.Aug 23, 2023 · RIA to affiliated broker-dealer or bank
- Steven Roy Puckett to Fiduciary Pension Partners, LLCJul 25, 2022 · RIA to a state-registered adviser
- Paul Alphonse De Rosa to Bcg Securities, Inc.Dec 5, 2018 · Other
Joined, latest
- Gonzalo A Figueroa Ortega from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 27, 2022 · Wirehouse to independent RIA
- Steven Roy Puckett from Trueplan Benefit And Retirement AdvisorsOct 7, 2016 · Other
- Paul Alphonse De Rosa from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 28, 2010 · Other
- Brian James Power from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 15, 2010 · Other
- Jay Harold Flamme from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 15, 2010 · Other
- Glenn Alan Blachman from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 15, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Bcg Securities, Inc.Feb 7, 2025 · Mountainside, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Glenn Blachman · Principal/Director Of Human Resourcescontrolsince 01/2010 · owns 25% to 50%
- Harold Jay Flamme · Chief Financial Officercontrolsince 01/2010 · owns 25% to 50%
- James Brian Power · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2010 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Mountainside, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Toms River, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 2,235 to 2,286Mar 25, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Mar 25, 2023 to Mar 28, 2024
- Advisory activities · 5 to 4Mar 25, 2023 to Mar 28, 2024
- Charity clients · 9.0 to unsetMar 25, 2023 to Mar 28, 2024
- Corporate clients · unset to 8.0Mar 25, 2023 to Mar 28, 2024
- HNW clients · 237 to 227Mar 25, 2023 to Mar 28, 2024
- Individual clients · 432 to 439Mar 25, 2023 to Mar 28, 2024
- State-registered IARs · 5 to 4Mar 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $638M to $744MMar 25, 2023 to Mar 28, 2024
- HNW RAUM · $493M to $590MMar 25, 2023 to Mar 28, 2024
- Individual RAUM · $138M to $151MMar 25, 2023 to Mar 28, 2024
- RAUM · $638M to $744MMar 25, 2023 to Mar 28, 2024
- Accounts · 2,243 to 2,235May 3, 2022 to Mar 25, 2023
- Advisory employees · 7 to 5May 3, 2022 to Mar 25, 2023
- Charity clients · unset to 9.0May 3, 2022 to Mar 25, 2023
- Corporate clients · 12.0 to unsetMay 3, 2022 to Mar 25, 2023
- HNW clients · 248 to 237May 3, 2022 to Mar 25, 2023
- Individual clients · 414 to 432May 3, 2022 to Mar 25, 2023
- Employees · 11 to 8May 3, 2022 to Mar 25, 2023
- State-registered IARs · 7 to 5May 3, 2022 to Mar 25, 2023
- Discretionary RAUM · $739M to $638MMay 3, 2022 to Mar 25, 2023
- HNW RAUM · $591M to $493MMay 3, 2022 to Mar 25, 2023
- Individual RAUM · $141M to $138MMay 3, 2022 to Mar 25, 2023
- RAUM · $739M to $638MMay 3, 2022 to Mar 25, 2023
- Accounts · 2,152 to 2,243Mar 31, 2021 to Mar 29, 2022
- Corporate clients · 13 to 12Mar 31, 2021 to Mar 29, 2022
- HNW clients · 245 to 248Mar 31, 2021 to Mar 29, 2022
- Individual clients · 406 to 414Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $684M to $739MMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $544M to $591MMar 31, 2021 to Mar 29, 2022
- Individual RAUM · $134M to $141MMar 31, 2021 to Mar 29, 2022
- RAUM · $684M to $739MMar 31, 2021 to Mar 29, 2022
- Related insurance company · true to falseMar 31, 2021 to Mar 29, 2022
- Accounts · 2,054 to 2,152Jun 30, 2020 to Mar 31, 2021
- Corporate clients · 10 to 13Jun 30, 2020 to Mar 31, 2021
- HNW clients · 222 to 245Jun 30, 2020 to Mar 31, 2021
- Individual clients · 378 to 406Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $570M to $684MJun 30, 2020 to Mar 31, 2021
- HNW RAUM · $434M to $544MJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $122M to $134MJun 30, 2020 to Mar 31, 2021
Signals
8 dated events
- Gateway Advisory, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $743.7M)Mar 6, 2025 · Left the SEC roster · derived
- Glenn Alan Blachman left Gateway Advisory, Llc for Bcg Securities, Inc. (registered 2012-03-08)Feb 7, 2025 · Advisor changed firm · fact
- Brian James Power left Gateway Advisory, Llc for Bcg Securities, Inc. (registered 2012-03-21)Feb 7, 2025 · Advisor changed firm · fact
- Jay Harold Flamme left Gateway Advisory, Llc for Bcg Securities, Inc. (registered 2012-03-08)Feb 7, 2025 · Advisor changed firm · fact
- Gateway Advisory, LLC's advisors moved to Bcg Securities, Inc. (Mountainside, NJ): 3 of 3 registered, on the same dayFeb 7, 2025 · Firm absorbed (people side) · derived
- Gonzalo A Figueroa Ortega left Gateway Advisory, Llc for Osaic Wealth, Inc. (registered 2023-08-16)Aug 23, 2023 · Advisor changed firm · fact
- Steven Roy Puckett left Gateway Advisory, Llc for Fiduciary Pension Partners, Llc (registered 2021-08-31)Jul 25, 2022 · Advisor changed firm · fact
- A Paul De Rosa (Member) no longer on Schedule A of Gateway Advisory, Llc (listed 2022-03-29, absent 2022-05-03)May 3, 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