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
American Investment Planners LLC
Latest filing Mar 7, 2022
First filing on the tape Mar 13, 2012 · 22 filings
RAUM
$34.4M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
100%
$34.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$34.4M as of Mar 7, 2022
Mar 13, 2012$563M then
HNW client RAUM$27.1M as of Mar 7, 2022
Mar 29, 2018$88.2M then
State-registered IARs (5.B.3)4 as of Mar 7, 2022
Mar 28, 20133 then
Employees (5.A)17 as of Mar 7, 2022
Mar 28, 201323 then
Private funds: no history
RAUM -10% over the last fiscal year-35% a year over threeIARs 4 to 4offices 4 to 3
Practice profile
derived from the filing of Mar 7, 2022; every figure names its basis
- RAUM per advisor
- $8.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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
- High-net-worth individuals$27.1M79%
- Individuals$7.3M21%
- Individual clients
- 22reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- 11-25reported
- 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
- Lee Evan Rosenberg to LPL Financial LLCDec 19, 2022 · RIA to affiliated broker-dealer or bank
- Brett Lawrence Goldstein to LPL Financial LLCDec 19, 2022 · RIA to affiliated broker-dealer or bank
- John Charles L'Abbate to LPL Financial LLCDec 19, 2022 · RIA to affiliated broker-dealer or bank
- Brian Thomas Amato to Comprehensive Wealth Services, LLCDec 19, 2022 · RIA to a state-registered adviser
- Barbara Magor Deel to LPL Financial LLCDec 19, 2022 · RIA to affiliated broker-dealer or bank
- Gerard Simonelli to Ameriprise Financial Services, LLCSep 4, 2013 · Other
Joined, latest
- Brett Lawrence Goldstein from Cadaret Grant & Co IncJun 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- John Charles L'Abbate from Cadaret Grant & Co IncJun 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- Brian Thomas Amato from Cadaret Grant & Co IncJun 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- Barbara Magor Deel from Cadaret Grant & Co IncJul 12, 2012 · Other
- Lee Evan Rosenberg from Cadaret Grant & Co IncFeb 11, 2011 · Other
- Gerard Simonelli from Cadaret Grant & Co IncFeb 11, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for LPL Financial LLCDec 19, 2022 · Jericho, Ny · Firm absorbed
- 2 joined from Cadaret Grant & Co IncJul 10, 2025 · Boca Raton, Fl
- 3 joined from Cadaret Grant & Co IncJul 10, 2025 · Jericho, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Evan Lee Rosenberg · President, Managing Member And , Chief Compliance Officer (07/2011)controlsince 10/2010 · owns 75% or more
- Charles John Labbate · Secretary/Treasurer And Senior Finanical Planner; Director Of Tax Planningsince 10/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- Jericho, NY2 employees
- La Vernia, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 35 to 32Jan 6, 2022 to Mar 7, 2022
- BD registered reps · 12 to 10Jan 6, 2022 to Mar 7, 2022
- HNW clients · 11 to 10Jan 6, 2022 to Mar 7, 2022
- Individual clients · 24 to 22Jan 6, 2022 to Mar 7, 2022
- Employees · 18 to 17Jan 6, 2022 to Mar 7, 2022
- Discretionary RAUM · $5.0M to $4.6MJan 6, 2022 to Mar 7, 2022
- HNW RAUM · $31.5M to $27.1MJan 6, 2022 to Mar 7, 2022
- Individual RAUM · $6.9M to $7.3MJan 6, 2022 to Mar 7, 2022
- Non-discretionary RAUM · $33.4M to $29.8MJan 6, 2022 to Mar 7, 2022
- RAUM · $38.4M to $34.4MJan 6, 2022 to Mar 7, 2022
- Other offices · 4 to 3Mar 10, 2021 to Jan 6, 2022
- Individual RAUM · $6.8M to $6.9MMar 9, 2021 to Mar 10, 2021
- Non-discretionary RAUM · $33.3M to $33.4MMar 9, 2021 to Mar 10, 2021
- RAUM · $38.3M to $38.4MMar 9, 2021 to Mar 10, 2021
- Accounts · 60 to 35Aug 26, 2020 to Mar 9, 2021
- Advisory employees · 8 to 7Aug 26, 2020 to Mar 9, 2021
- BD registered reps · 11 to 12Aug 26, 2020 to Mar 9, 2021
- HNW clients · 19 to 11Aug 26, 2020 to Mar 9, 2021
- Individual clients · 41 to 24Aug 26, 2020 to Mar 9, 2021
- Employees · 17 to 18Aug 26, 2020 to Mar 9, 2021
- Financial planning clients · 51-100 to 11-25Aug 26, 2020 to Mar 9, 2021
- Discretionary RAUM · $12.4M to $5.0MAug 26, 2020 to Mar 9, 2021
- HNW RAUM · $39.8M to $31.5MAug 26, 2020 to Mar 9, 2021
- Individual RAUM · $12.7M to $6.8MAug 26, 2020 to Mar 9, 2021
- Non-discretionary RAUM · $40.1M to $33.3MAug 26, 2020 to Mar 9, 2021
- RAUM · $52.5M to $38.3MAug 26, 2020 to Mar 9, 2021
- Other offices · 3 to 4Jun 10, 2020 to Aug 26, 2020
- Accounts · 188 to 60Mar 18, 2019 to Feb 12, 2020
- BD registered reps · 10 to 11Mar 18, 2019 to Feb 12, 2020
- HNW clients · 44 to 19Mar 18, 2019 to Feb 12, 2020
- Individual clients · 144 to 41Mar 18, 2019 to Feb 12, 2020
- Financial planning clients · 101-250 to 51-100Mar 18, 2019 to Feb 12, 2020
- Discretionary RAUM · $88.4M to $12.4MMar 18, 2019 to Feb 12, 2020
- HNW RAUM · $81.9M to $39.8MMar 18, 2019 to Feb 12, 2020
- Individual RAUM · $44.1M to $12.7MMar 18, 2019 to Feb 12, 2020
- Non-discretionary RAUM · $37.6M to $40.1MMar 18, 2019 to Feb 12, 2020
- RAUM · $126M to $52.5MMar 18, 2019 to Feb 12, 2020
- Accounts · 200 to 188Mar 29, 2018 to Mar 18, 2019
- BD registered reps · 9 to 10Mar 29, 2018 to Mar 18, 2019
- HNW clients · 45 to 44Mar 29, 2018 to Mar 18, 2019
Signals
8 dated events
- 4 advisors left Cadaret Grant & CO Inc (Syracuse, NY) for American Investment Planners LLC on the same dayJul 10, 2025 · Team lift-out · derived
- 2 advisors left Cadaret Grant & CO Inc (Boca Raton, FL) for American Investment Planners LLC on the same dayJul 10, 2025 · Team lift-out · derived
- John Charles L'Abbate left American Investment Planners Llc for Lpl Financial Llc (registered 2025-07-10)Dec 19, 2022 · Advisor changed firm · fact
- Brett Lawrence Goldstein left American Investment Planners Llc for Lpl Financial Llc (registered 2025-07-10)Dec 19, 2022 · Advisor changed firm · fact
- Lee Evan Rosenberg left American Investment Planners Llc for Lpl Financial Llc (registered 2025-07-10)Dec 19, 2022 · Advisor changed firm · fact
- Brian Thomas Amato left American Investment Planners Llc for Comprehensive Wealth Services, Llc (registered 2025-01-31)Dec 19, 2022 · Advisor changed firm · fact
- Barbara Magor Deel left American Investment Planners Llc for Lpl Financial Llc (registered 2025-07-10)Dec 19, 2022 · Advisor changed firm · fact
- American Investment Planners LLC's advisors moved to LPL Financial LLC (Jericho, NY): 3 of 5 registered, on the same dayDec 19, 2022 · Firm absorbed (people side) · 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