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

Altium Wealth Management LLC

Former SEC-registered adviserPurchase, New YorkCRD 154719SEC 801-71774IAPD
Latest filing Mar 25, 2022
First filing on the tape Mar 24, 2012 · 30 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.7B as of Mar 25, 2022
Mar 24, 2012$131M then
HNW client RAUM$2.4B as of Mar 25, 2022
Mar 27, 2018$753M then
State-registered IARs (5.B.3)22 as of Mar 25, 2022
Mar 27, 20139 then
Employees (5.A)42 as of Mar 25, 2022
Mar 27, 201316 then
Private funds: no history
RAUM +24% over the last fiscal year+30% a year over threeIARs 19 to 22
Practice profile
derived from the filing of Mar 25, 2022; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$878,485derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
22.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+16%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.4B90%
  • Individuals$185M7.0%
  • Pension and profit-sharing plans$82.9M3.1%
Individual clients
422reported
HNW clients
483reported
Pension plan clients
39reported
Charitable clients
n/areported
Accounts
3,019reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • John Anthony Destefano · Managing Membercontrol
    since 06/2010 · owns 10% to 25%
  • Robert Gregory Slater · Chief Investment Officercontrol
    since 01/2016 · owns less than 5%
  • Joseph Robert Sypher · Chief Compliance Officer And Chief Operations Officercontrol
    since 01/2014 · owns less than 5%
  • Scott Mitchell Brill · Member
    since 06/2010 · owns 10% to 25%
  • John James Dowling · Member
    since 06/2010 · owns 10% to 25%
  • Louis James Giangrande · Member
    since 06/2010 · owns 10% to 25%
  • Stewart Todd Levy · Member
    since 01/2017 · owns 10% to 25%
  • Bart Jeffrey Perlmutter · Member
    since 01/2017 · owns 10% to 25%
  • C Scott Tasch · Member
    since 01/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Altium Wealth Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2,818 to 3,019
    Mar 25, 2021 to Mar 25, 2022
  • Advisory employees · 19 to 25
    Mar 25, 2021 to Mar 25, 2022
  • HNW clients · 432 to 483
    Mar 25, 2021 to Mar 25, 2022
  • Individual clients · 431 to 422
    Mar 25, 2021 to Mar 25, 2022
  • Pension plan clients · 36 to 39
    Mar 25, 2021 to Mar 25, 2022
  • Employees · 39 to 42
    Mar 25, 2021 to Mar 25, 2022
  • Financial planning clients · 51-100 to 101-250
    Mar 25, 2021 to Mar 25, 2022
  • State-registered IARs · 19 to 22
    Mar 25, 2021 to Mar 25, 2022
  • Discretionary RAUM · $2.1B to $2.7B
    Mar 25, 2021 to Mar 25, 2022
  • HNW RAUM · $1.9B to $2.4B
    Mar 25, 2021 to Mar 25, 2022
  • Individual RAUM · $177M to $185M
    Mar 25, 2021 to Mar 25, 2022
  • Pension RAUM · $79.9M to $82.9M
    Mar 25, 2021 to Mar 25, 2022
  • RAUM · $2.1B to $2.7B
    Mar 25, 2021 to Mar 25, 2022
  • Accounts · 2,604 to 2,818
    Feb 16, 2021 to Mar 25, 2021
  • Advisory employees · 25 to 19
    Feb 16, 2021 to Mar 25, 2021
  • HNW clients · 350 to 432
    Feb 16, 2021 to Mar 25, 2021
  • Individual clients · 523 to 431
    Feb 16, 2021 to Mar 25, 2021
  • Pension plan clients · 37 to 36
    Feb 16, 2021 to Mar 25, 2021
  • Employees · 46 to 39
    Feb 16, 2021 to Mar 25, 2021
  • State-registered IARs · 18 to 19
    Feb 16, 2021 to Mar 25, 2021
  • Other offices · 1 to 0
    Feb 16, 2021 to Mar 25, 2021
  • Discretionary RAUM · $1.6B to $2.1B
    Feb 16, 2021 to Mar 25, 2021
  • HNW RAUM · $1.4B to $1.9B
    Feb 16, 2021 to Mar 25, 2021
  • Individual RAUM · $203M to $177M
    Feb 16, 2021 to Mar 25, 2021
  • Pension RAUM · $30.5M to $79.9M
    Feb 16, 2021 to Mar 25, 2021
  • RAUM · $1.6B to $2.1B
    Feb 16, 2021 to Mar 25, 2021
  • Accounts · 796 to 2,604
    Jan 28, 2020 to Mar 30, 2020
  • Advisory employees · 19 to 25
    Jan 28, 2020 to Mar 30, 2020
  • HNW clients · 269 to 350
    Jan 28, 2020 to Mar 30, 2020
  • Individual clients · 524 to 523
    Jan 28, 2020 to Mar 30, 2020
  • Pension plan clients · 0 to 37
    Jan 28, 2020 to Mar 30, 2020
  • Assets in custody · 184903696.0 to unset
    Jan 28, 2020 to Mar 30, 2020
  • Custody of client assets · true to false
    Jan 28, 2020 to Mar 30, 2020
  • Employees · 44 to 46
    Jan 28, 2020 to Mar 30, 2020
  • Financial planning clients · 251-500 to 51-100
    Jan 28, 2020 to Mar 30, 2020
  • State-registered IARs · 10 to 18
    Jan 28, 2020 to Mar 30, 2020
  • Discretionary RAUM · $1.2B to $1.6B
    Jan 28, 2020 to Mar 30, 2020
  • HNW RAUM · $1.0B to $1.4B
    Jan 28, 2020 to Mar 30, 2020
  • Individual RAUM · $184M to $203M
    Jan 28, 2020 to Mar 30, 2020
  • Pension RAUM · $0 to $30.5M
    Jan 28, 2020 to Mar 30, 2020
Signals
8 dated events
  • Geoffrey Mchale Garfield left Altium Wealth Management Llc for Compass Financial Management Llc (registered 2024-11-18)
    Jun 1, 2022 · Advisor changed firm · fact
  • Altium Wealth Management LLC's advisors moved to Altium Wealth Management (Purchase, NY): 21 of 22 registered, on the same day
    Jun 1, 2022 · Firm absorbed (people side) · derived
  • Altium Wealth Management Llc reported RAUM $2.1B, up 32% from $1.6B (2021-02-16 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • Altium Wealth Management Llc reported RAUM $1.6B, up 34% from $1.2B (2020-01-28 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Altium Wealth Management Llc reported RAUM $1.2B, up 32% from $911.4M (2018-11-29 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • L Brennian Antell (Director Of Investments) no longer on Schedule A of Altium Wealth Management Llc (listed 2018-11-29, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Robert Gregory Slater (Chief Investment Officer) appeared on Schedule A of Altium Wealth Management Llc
    Mar 29, 2019 · Control person joined · fact
  • Altium Wealth Management Llc reported RAUM $911.4M, up 37% from $665.6M (2017-04-28 to 2018-03-27)
    Mar 27, 2018 · RAUM change · 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