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

Aj Wealth

Former SEC-registered adviserNew York, New YorkCRD 161950SEC 801-79289IAPD
Legal name A&J Wealth Strategies LLC
Latest filing Dec 8, 2023
First filing on the tape Feb 25, 2014 · 18 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
47%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$37.0M gross assets
History
18 filings and snapshots on the tape
RAUM$2.4B as of Mar 28, 2023
Mar 30, 2015$236M then
HNW client RAUM$1.1B as of Mar 28, 2023
Mar 28, 2018$428M then
State-registered IARs (5.B.3)14 as of Mar 28, 2023
Mar 30, 20155 then
Employees (5.A)45 as of Mar 28, 2023
Mar 30, 201513 then
Private funds: 1
RAUM -17% over the last fiscal year+17% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Dec 8, 2023; every figure names its basis
RAUM per advisor
$169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.9MderivedHNW RAUM over HNW clients
Average account
$3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.2derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B70%
  • Corporations and businesses$403M26%
  • Pooled investment vehicles$37.0M2.4%
  • Individuals$15.8M1.0%
  • Charitable organizations$5.7M0.4%
Individual clients
50reported
HNW clients
139reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
797reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Ajw Ta Debt Fund LLCPrivate Equity Fund$37.0M42Mar 28, 2023
    Owners and control persons
    Schedule A and B, latest filing
    • Allen Scott Bradtmiller · Chief Compliance Officercontrol
      since 03/2022 · owns less than 5%
    • Andrew Cooper · Managing Principalcontrol
      since 04/2012 · owns 50% to 75%
    • Gregory Justyn Volesko · Managing Principalcontrol
      since 04/2012 · owns 50% to 75%
    • Andrew Cooper · Managing Principalcontrol
      since 11/2018 · owns 50% to 75% of Ajws Partner Holdings LP
    • Gregory Justyn Volesko · Managing Principalcontrol
      since 11/2018 · owns 50% to 75% of Ajws Partner Holdings LP
    • Andrew Cooper · Managing Principal
      since 11/2018 · owns 50% to 75% of Ajws Gp Holdings LLC
    • Gregory Justyn Volesko · Managing Principal
      since 11/2018 · owns 50% to 75% of Ajws Gp Holdings LLC
    Entity owners
    • Ajws Partner Holdings LP · Managing Principal
      direct · owns 75% or more
    • Ajws Gp Holdings LLC · Managing Principal
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    • Aj Insured
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · 87897628.0 to unset
      Jun 23, 2023 to Aug 15, 2023
    • Custody of client assets · true to false
      Jun 23, 2023 to Aug 15, 2023
    • Legal name · AJ WEALTH STRATEGIES, LLC to A&J WEALTH STRATEGIES LLC
      Jun 23, 2023 to Aug 15, 2023
    • Accounts · 1,208 to 797
      Mar 31, 2022 to Mar 28, 2023
    • Advisory employees · 13 to 14
      Mar 31, 2022 to Mar 28, 2023
    • Advisory activities · 2 to 3
      Mar 31, 2022 to Mar 28, 2023
    • Charity clients · 4 to 1
      Mar 31, 2022 to Mar 28, 2023
    • Corporate clients · 54 to 25
      Mar 31, 2022 to Mar 28, 2023
    • HNW clients · 150 to 139
      Mar 31, 2022 to Mar 28, 2023
    • Individual clients · 66 to 50
      Mar 31, 2022 to Mar 28, 2023
    • Pooled vehicle clients · 0 to 1
      Mar 31, 2022 to Mar 28, 2023
    • Assets in custody · $71.1M to $87.9M
      Mar 31, 2022 to Mar 28, 2023
    • Employees · 36 to 45
      Mar 31, 2022 to Mar 28, 2023
    • State-registered IARs · 13 to 14
      Mar 31, 2022 to Mar 28, 2023
    • Private funds · unset to 1
      Mar 31, 2022 to Mar 28, 2023
    • Discretionary RAUM · $1.7B to $1.8B
      Mar 31, 2022 to Mar 28, 2023
    • HNW RAUM · $1.6B to $1.1B
      Mar 31, 2022 to Mar 28, 2023
    • Individual RAUM · $14.0M to $15.8M
      Mar 31, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $1.2B to $569M
      Mar 31, 2022 to Mar 28, 2023
    • Pooled vehicle RAUM · $0 to $37.0M
      Mar 31, 2022 to Mar 28, 2023
    • RAUM · $2.9B to $2.4B
      Mar 31, 2022 to Mar 28, 2023
    • Accounts · 1,060 to 1,208
      May 25, 2021 to Mar 31, 2022
    • Advisory employees · 14 to 13
      May 25, 2021 to Mar 31, 2022
    • Corporate clients · 40 to 54
      May 25, 2021 to Mar 31, 2022
    • HNW clients · 208 to 150
      May 25, 2021 to Mar 31, 2022
    • Individual clients · 0 to 66
      May 25, 2021 to Mar 31, 2022
    • Assets in custody · $87.8M to $71.1M
      May 25, 2021 to Mar 31, 2022
    • Employees · 30 to 36
      May 25, 2021 to Mar 31, 2022
    • State-registered IARs · 14 to 13
      May 25, 2021 to Mar 31, 2022
    • Discretionary RAUM · $1.5B to $1.7B
      May 25, 2021 to Mar 31, 2022
    • HNW RAUM · $1.1B to $1.6B
      May 25, 2021 to Mar 31, 2022
    • Individual RAUM · $0 to $14.0M
      May 25, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $503M to $1.2B
      May 25, 2021 to Mar 31, 2022
    • RAUM · $2.0B to $2.9B
      May 25, 2021 to Mar 31, 2022
    • Accounts · 876 to 1,060
      Jun 22, 2020 to Mar 29, 2021
    • Advisory employees · 11 to 14
      Jun 22, 2020 to Mar 29, 2021
    • Corporate clients · 32 to 40
      Jun 22, 2020 to Mar 29, 2021
    • HNW clients · 183 to 208
      Jun 22, 2020 to Mar 29, 2021
    • Assets in custody · $50.7M to $87.8M
      Jun 22, 2020 to Mar 29, 2021
    • Employees · 24 to 30
      Jun 22, 2020 to Mar 29, 2021
    Signals
    26 dated events
    • AJ Wealth's advisors moved to Cerity Partners LLC (New York, NY): 10 of 12 registered, on the same day
      Aug 15, 2023 · Firm absorbed (people side) · derived
    • Stephen Michael Soviero left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Jillian Maeve Lam left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Andrew Cooper left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • James Kane left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Daniel Scott Donofrio left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Nicole Claire Fox left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Jennette J Brilliant left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • William Allen Rohr left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Justyn Gregory Volesko left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Matthew Joseph Mcdonald left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Joseph Thomas Burbella left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Andrea Zilli left Aj Wealth for Cerity Partners Llc (registered 2023-07-05)
      Aug 15, 2023 · Advisor changed firm · fact
    • Daniel Rosone left Aj Wealth for Svb Wealth (registered 2022-10-14)
      Sep 13, 2022 · Advisor changed firm · fact
    • Rafal Gustaw Chochol left Aj Wealth for True Link Financial Advisors (registered 2023-02-17)
      Sep 8, 2022 · Advisor changed firm · fact
    • Dillon Wayne Dunn left Aj Wealth for Rainey & Randall Wealth Advisors, Inc. (registered 2023-08-21)
      Aug 8, 2022 · Advisor changed firm · fact
    • 2 advisors left AJ Wealth (New York, NY) for Svb Wealth on the same day
      Jun 21, 2022 · Team lift-out · derived
    • Clayton John Cochran left Aj Wealth for Svb Wealth (registered 2022-06-22)
      Jun 21, 2022 · Advisor changed firm · fact
    • Elizabeth M Smoose left Aj Wealth for Svb Wealth (registered 2022-06-22)
      Jun 21, 2022 · Advisor changed firm · fact
    • Allen Scott Bradtmiller (Chief Compliance Officer) appeared on Schedule A of Aj Wealth
      Mar 31, 2022 · Control person joined · fact
    • Aj Wealth reported RAUM $2.9B, up 40% from $2.0B (2021-05-25 to 2022-03-31)
      Mar 31, 2022 · RAUM change · derived
    • Lauren Ann Ricca left Aj Wealth for Kestra Advisory Services, Llc (registered 2022-03-07)
      Jan 17, 2022 · Advisor changed firm · fact
    • Aj Wealth reported RAUM $2.0B, up 37% from $1.5B (2020-06-22 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • Aj Wealth reported RAUM $1.5B, up 60% from $926.0M (2019-06-12 to 2020-03-26)
      Mar 26, 2020 · RAUM change · derived
    • Aj Wealth reported RAUM $764.0M, up 42% from $536.7M (2017-03-31 to 2018-03-28)
      Mar 28, 2018 · RAUM change · derived
    • Aj Wealth filed its initial SEC registration (Form ADV)
      Feb 25, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    • AJ Wealth · Private Equity
      shared crd · organization
    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