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.
SEC-registered adviser
Ritholtz Wealth Management
Latest filing Aug 10, 2026
First filing on the tape Aug 16, 2013 · 73 filings
SEC status approved since Sep 16, 2013
RAUM
$9.4B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
94%
$8.9B individuals and HNW
Advisors
57
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
83
48 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
73 filings and snapshots on the tape
RAUM$9.4B as of Aug 10, 2026
Jan 9, 2014$136M then
HNW client RAUM$8.1B as of Aug 10, 2026
Feb 26, 2018$547M then
State-registered IARs (5.B.3)51 as of Aug 10, 2026
Jan 9, 20140 then
Employees (5.A)83 as of Aug 10, 2026
Jan 9, 20146 then
Private funds: no history
RAUM +66% over the last fiscal year+47% a year over threeIARs 43 to 51
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $681,479derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.8derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.7B, 2,070 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.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$8.1B86%
- Individuals$779M8.3%
- Pension and profit-sharing plans$414M4.4%
- Charitable organizations$73.2M0.8%
- Corporations and businesses$34.3M0.4%
- Individual clients
- 2,694reported
- HNW clients
- 1,445reported
- Pension plan clients
- 82reported
- Charitable clients
- n/areported
- Accounts
- 13,828reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 2,070 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
57 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gary Alan Pulford | New York, Ny | Dec 4, 2017 | 43 y | 2 |
| Brian Adam Rosen | Northbrook, Il | Dec 4, 2017 | 21 y | 2 |
| Jonathan Singer Novy | Northbrook, Il | Dec 4, 2017 | 19 y | 2 |
| Margaret Blair DuquesnayCertified Financial Planner | New Orleans, La | Jun 6, 2018 | 21 y | 5 |
| Paul Steven Zodtner | New York, Ny | Mar 14, 2019 | 13 y | 1 |
| Nicholas Charles Sapienza | New York, Ny | Jun 20, 2019 | 10 y | 1 |
| Kristopher Pierre VenneCertified Financial Planner | New York, Ny | Mar 1, 2021 | 18 y | 1 |
| Alexander James Palumbo | Marlboro, Nj | Mar 1, 2021 | 12 y | 1 |
| Joshua Morgan Brown | New York, Ny | Mar 2, 2021 | 28 y | 1 |
| Anthony Thomas Isola | New York, Ny | Mar 19, 2021 | 20 y | 0 |
| Benjamin Everitt Coulthard | New York, Ny | Mar 24, 2021 | 12 y | 0 |
| Michael Henry Batnick | New York, Ny | Mar 29, 2021 | 16 y | 1 |
| Dylan Kluender | New York, Ny | Mar 29, 2021 | 12 y | 1 |
| William James ArtzerounianCertified Financial Planner, Personal Financial Specialist | New York, Ny | May 10, 2021 | 11 y | 4 |
| Dinamarie Rose Isola | New York, Ny | Jun 6, 2021 | 29 y | 0 |
| Barry Lawrence Ritholtz | New York, Ny | Jun 6, 2021 | 30 y | 0 |
| Alexander John Messer | New York, Ny | Jun 16, 2021 | 18 y | 1 |
| William Alan SweetCertified Financial Planner | New York, Ny | Jun 21, 2021 | 24 y | 0 |
| Cameron K RufusCertified Financial Planner | Harrison, Nj | Sep 17, 2021 | 11 y | 0 |
| Matthew D PapandreaCertified Financial Planner | Charlotte, Nc | Feb 23, 2022 | 18 y | 1 |
| Taylor Dawn HollisCertified Financial Planner | Nashville, Tn | Mar 15, 2022 | 11 y | 1 |
| Ross David CohenCertified Financial Planner | New York, Ny | May 16, 2022 | 12 y | 4 |
| Benjamin Patrick CarlsonChartered Financial Analyst | New York, Ny | Feb 14, 2023 | 11 y | 0 |
| Eric John Zipfel | New York, Ny | Mar 10, 2023 | 27 y | 7 |
| Jay Drennan Tini | New York, Ny | Apr 28, 2023 | 22 y | 0 |
| James P SchwendemanCertified Financial Planner, Chartered Financial Consultant | Lexington, Ky | May 9, 2023 | 12 y | 1 |
| Alan Louis BrockhausCertified Financial Planner, Chartered Financial Consultant | New York, Ny | Jun 12, 2023 | 14 y | 1 |
| Stephanie Zodtner BasznerCertified Financial Planner | New York, Ny | Jul 10, 2023 | 10 y | 1 |
| Michelle Nicole KatzenCertified Financial Planner | New York, Ny | Jul 14, 2023 | 17 y | 3 |
| Adam Michael DayCertified Financial Planner | Naples, Fl | Dec 11, 2023 | 15 y | 2 |
| Kevin Michael YoungCertified Financial Planner | New York, Ny | Feb 28, 2024 | 19 y | 1 |
| Daniel Craig Baxter | Amber, Pa | Jan 21, 2025 | 15 y | 0 |
| Tyler Blake HillyerCertified Financial Planner | Princeton, Wv | Feb 3, 2025 | 16 y | 2 |
| Nicholas Jacob FriedmanCertified Financial Planner | Ridgerfield, Ct | Feb 13, 2025 | 15 y | 3 |
| Jalen Patrick RandolphCertified Financial Planner | Charlotte, Nc | Mar 31, 2025 | 14 y | 2 |
| Trevor Charles BattCertified Financial Planner | Chesterfield, Va | Apr 15, 2025 | 14 y | 3 |
| Benjamin Michael Packer | Chicago, Il | May 6, 2025 | 11 y | 0 |
| Nathan Oneal JeffersonCertified Financial Planner | Chicago, Il | May 7, 2025 | 12 y | 0 |
| Matthew James LohriusCertified Financial Planner | New York, Ny | May 23, 2025 | 12 y | 1 |
| Angelica Marie Andrews | Philadelphia, Pa | May 28, 2025 | 10 y | 0 |
Advisor movement
2 left, 10 joined in 12 months
net +8 in 12 months0 left in 90 days5 joined in 90 daysdeparture rate 3.5% of current headcount5 left over 36 months
Left, latest
- Steven Ross Schiff to Raymond James Financial Services Advisors, IncFeb 17, 2026 · RIA to affiliated broker-dealer or bank
- Dominic Anthony Bova to Edelman Financial EnginesFeb 10, 2026 · RIA to RIA
- Emily Anna Johnson to Lazari Capital Management, Inc.May 8, 2024 · RIA to RIA
- Nicholas Gomes to Commonwealth Financial NetworkJan 2, 2024 · RIA to affiliated broker-dealer or bank
- Douglas Hafemann to J.P. Morgan Securities LLCSep 21, 2023 · RIA to wirehouse
- Daniel Dongmin Kim to LidoJan 20, 2022 · RIA to RIA
Joined, latest
- William Carroll Vaughan from CorientSep 3, 2026 · RIA to RIA
- Eric A Smith from CorientAug 17, 2026 · RIA to RIA
- Joel Craig Fishman from Rosenbaum FinancialJul 24, 2026 · Other
- Caroline Whittaker Campanella from Novare Capital ManagementJul 7, 2026 · RIA to RIA
- Jordan Douglas Hanson from Hcr Wealth AdvisorsJul 2, 2026 · RIA to RIA
- Christopher William Niall Carey from Carnegie Investment CounselFeb 13, 2026 · RIA to RIA
- Joseph Anthony Perna from Compound Planning, Inc.Feb 6, 2026 · RIA to RIA
- Adam James Niestradt from Aprio Wealth Management, LLCJan 27, 2026 · RIA to RIA
- Steven Ross Schiff from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 12, 2026 · Wirehouse to independent RIA
- Ian Cully from Aspire Wealth ArchitectsOct 1, 2025 · RIA to RIA
- Daniel Robert Larosa from Foundation Retirement Plan Consultants, LLCAug 14, 2025 · Other
- Patrick Kern Haley from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 13, 2025 · Wirehouse to independent RIA
- Matthew James Lohrius from American Portfolios Advisors, IncMay 23, 2025 · Other
- Trevor Charles Batt from Alphastar Capital ManagementApr 15, 2025 · RIA to RIA
- Jalen Patrick Randolph from CorientMar 31, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Independent Financial PartnersJan 26, 2018 · Northbrook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Henry Michael Batnick · Managing Membercontrolsince 10/2013 · owns 10% to 25%
- Morgan Joshua Brown · Managing Membercontrolsince 08/2013 · owns 25% to 50%
- Lawrence Barry Ritholtz · Managing Membercontrolsince 08/2013 · owns 5% to 10%
- Pierre Kristopher Venne · Managing Membercontrolsince 10/2013 · owns 10% to 25%
- James William Artzerounian · Managing Membersince 10/2024 · owns less than 5%
- Patrick Benjamin Carlson · Managing Membersince 04/2019 · owns less than 5%
- G. Anna Chaiken · Managing Membersince 01/2023 · owns less than 5%
- David Ross Cohen · Managing Membersince 01/2026 · owns less than 5%
- Everitt Benjamin Coulthard · Managing Membersince 01/2024 · owns less than 5%
- Blair Margaret Duquesnay · Managing Membersince 01/2022 · owns less than 5%
- Marie Patricia Ferraro · Chief Compliance Officer & Managing Membersince 03/2020 · owns less than 5%
- Craig Joel Fishman · Managing Membersince 04/2019 · owns less than 5%
- Dawn Taylor Hollis · Managing Membersince 02/2025 · owns less than 5%
- Rose Dinamarie Isola · Managing Membersince 04/2019 · owns less than 5%
- Nicole Michelle Katzen · Managing Membersince 07/2023 · owns less than 5%
- Dylan Kluender · Managing Membersince 03/2024 · owns less than 5%
- Robert Daniel Larosa · Managing Membersince 01/2023 · owns less than 5%
- James Matthew Lohrius · Managing Membersince 01/2024 · owns less than 5%
- Ray Nicholas Maggiulli · Managing Membersince 01/2022 · owns less than 5%
- Christine Erika Mauro · Managing Membersince 04/2019 · owns less than 5%
- Singer Jonathan Novy · Managing Membersince 01/2021 · owns less than 5%
- James Alexander Palumbo · Managing Membersince 01/2020 · owns less than 5%
- Alan Gary Pulford · Managing Membersince 01/2022 · owns less than 5%
- Adam Brian Rosen · Managing Membersince 01/2021 · owns less than 5%
- Charles Nicholas Sapienza · Managing Membersince 01/2024 · owns less than 5%
- Alan William Sweet · Managing Membersince 04/2019 · owns less than 5%
- Drennan Jay Tini · Managing Membersince 01/2023 · owns 5% to 10%
- Michael Kevin Young · Managing Membersince 01/2024 · owns less than 5%
- Steven Paul Zodtner · Managing Membersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Rwm Insurance Services, LLCreal estatey
- Rwm Tax LLCinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 36 | 5 | 1 | ||
| Charlotte, Nc | 6 | 2 | 0 | ||
| Chicago, Il | 5 | 3 | 0 | ||
| Stony Brook, Ny | 2 | 0 | 0 | ||
| Lexington, Ky | 2 | 1 | 0 | ||
| New Orleans, La | 2 | 0 | 0 | ||
| Northbrook, Il | 2 | 0 | 0 | ||
| Boca Raton, Fl | 0 | 0 | 1 | ||
| Orange, Ca | 0 | 0 | 0 | ||
| Brookfield, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC4 employees
- North Bellmore, NY3 employees
- Northbrook, IL3 employees
- Chicago, IL3 employees
- Manhattan Beach, CA2 employees
- New Orleans, LA2 employees
- Austin, TX1 employees
- Naples, FL1 employees
- Nashville, TN1 employees
- Barrington, RI1 employees
- Newport Beach, CA1 employees
- Grand Rapids, MI1 employees
- Hilton Head, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 12,587 to 13,828May 14, 2026 to Aug 10, 2026
- HNW clients · 1,247 to 1,445May 14, 2026 to Aug 10, 2026
- Individual clients · 2,752 to 2,694May 14, 2026 to Aug 10, 2026
- Pension plan clients · 77 to 82May 14, 2026 to Aug 10, 2026
- Discretionary RAUM · $7.0B to $8.5BMay 14, 2026 to Aug 10, 2026
- HNW RAUM · $6.5B to $8.1BMay 14, 2026 to Aug 10, 2026
- Individual RAUM · $725M to $779MMay 14, 2026 to Aug 10, 2026
- Non-discretionary RAUM · $734M to $911MMay 14, 2026 to Aug 10, 2026
- Pension RAUM · $356M to $414MMay 14, 2026 to Aug 10, 2026
- RAUM · $7.7B to $9.4BMay 14, 2026 to Aug 10, 2026
- Accounts · 11,801 to 12,587Jul 2, 2025 to Jan 29, 2026
- Advisory employees · 45 to 48Jul 2, 2025 to Jan 29, 2026
- HNW clients · 980 to 1,247Jul 2, 2025 to Jan 29, 2026
- Individual clients · 2,916 to 2,752Jul 2, 2025 to Jan 29, 2026
- Assets in custody · $1.0B to $1.7BJul 2, 2025 to Jan 29, 2026
- Employees · 71 to 83Jul 2, 2025 to Jan 29, 2026
- State-registered IARs · 43 to 51Jul 2, 2025 to Jan 29, 2026
- Discretionary RAUM · $6.1B to $7.0BJul 2, 2025 to Jan 29, 2026
- HNW RAUM · $5.2B to $6.5BJul 2, 2025 to Jan 29, 2026
- Individual RAUM · $944M to $725MJul 2, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $404M to $734MJul 2, 2025 to Jan 29, 2026
- Pension RAUM · $257M to $356MJul 2, 2025 to Jan 29, 2026
- RAUM · $6.5B to $7.7BJul 2, 2025 to Jan 29, 2026
- Accounts · 10,881 to 11,801Mar 20, 2025 to Jul 2, 2025
- HNW clients · 799 to 980Mar 20, 2025 to Jul 2, 2025
- Individual clients · 3,078 to 2,916Mar 20, 2025 to Jul 2, 2025
- Pension plan clients · 76 to 77Mar 20, 2025 to Jul 2, 2025
- Financial planning clients · 0 to 0Mar 20, 2025 to Jul 2, 2025
- Discretionary RAUM · $5.3B to $6.1BMar 20, 2025 to Jul 2, 2025
- HNW RAUM · $4.3B to $5.2BMar 20, 2025 to Jul 2, 2025
- Individual RAUM · $959M to $944MMar 20, 2025 to Jul 2, 2025
- Non-discretionary RAUM · $367M to $404MMar 20, 2025 to Jul 2, 2025
- Pension RAUM · $311M to $257MMar 20, 2025 to Jul 2, 2025
- RAUM · $5.7B to $6.5BMar 20, 2025 to Jul 2, 2025
- Accounts · 10,501 to 10,881Jan 28, 2025 to Mar 20, 2025
- Advisory employees · 38 to 45Jan 28, 2025 to Mar 20, 2025
- HNW clients · 764 to 799Jan 28, 2025 to Mar 20, 2025
- Individual clients · 3,051 to 3,078Jan 28, 2025 to Mar 20, 2025
- Pension plan clients · 79 to 76Jan 28, 2025 to Mar 20, 2025
- Assets in custody · $1.1B to $1.0BJan 28, 2025 to Mar 20, 2025
Signals
13 dated events
- Steven Ross Schiff left Ritholtz Wealth Management for Raymond James Financial Services Advisors, Inc (registered 2026-03-16)Feb 17, 2026 · Advisor changed firm · fact
- Dominic Anthony Bova left Ritholtz Wealth Management for Edelman Financial Engines (registered 2026-03-02)Feb 10, 2026 · Advisor changed firm · fact
- Emily Anna Johnson left Ritholtz Wealth Management for Lazari Capital Management, Inc. (registered 2024-05-09)May 8, 2024 · Advisor changed firm · fact
- Nicholas Gomes left Ritholtz Wealth Management for Commonwealth Financial Network (registered 2024-01-22)Jan 2, 2024 · Advisor changed firm · fact
- Douglas Hafemann left Ritholtz Wealth Management for J.P. Morgan Securities Llc (registered 2025-04-18)Sep 21, 2023 · Advisor changed firm · fact
- Ritholtz Wealth Management reported RAUM $4.0B, up 35% from $2.9B (2023-05-19 to 2023-09-07)Sep 7, 2023 · RAUM change · derived
- Ritholtz Wealth Management reported RAUM $2.7B, up 50% from $1.8B (2021-12-07 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- Daniel Dongmin Kim left Ritholtz Wealth Management for Lido (registered 2022-01-20)Jan 20, 2022 · Advisor changed firm · fact
- Ritholtz Wealth Management reported RAUM $1.8B, up 39% from $1.3B (2020-08-20 to 2021-03-11)Mar 11, 2021 · RAUM change · derived
- Marie Patricia Ferraro (Chief Compliance Officer) appeared on Schedule A of Ritholtz Wealth ManagementMar 30, 2020 · Control person joined · fact
- Ritholtz Wealth Management reported RAUM $1.3B, up 29% from $1.0B (2019-05-03 to 2020-03-10)Mar 10, 2020 · RAUM change · derived
- Ritholtz Wealth Management reported RAUM $708.2M, up 28% from $553.8M (2017-12-04 to 2018-02-26)Feb 26, 2018 · RAUM change · derived
- Ritholtz & Co. filed its initial SEC registration (Form ADV)Aug 16, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/the-compound-mediareportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/ritholtz-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ritholtz.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (212) 625-1200reportedpublic record, Form ADV, Aug 10, 2026
- Contact form
- ritholtz.com/contact-2reportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ritholtz.com/2009/06/team-obama-does-not-understand-derivatireportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026