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

Ridge Retirement Consultants, LLC

Former SEC-registered adviserNew York, New YorkCRD 171273SEC 801-79744IAPD
Latest filing Oct 27, 2016
First filing on the tape May 8, 2014 · 10 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: $1.4B
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Mar 27, 20152 then
Employees (5.A)5 as of Mar 29, 2016
Mar 27, 20158 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Oct 27, 2016; every figure names its basis
RAUM per advisor
$472MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$39.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jeffrey Robert Scherzer · Membercontrol
    since 04/2014 · owns 75% or more
  • Sergio Sardera · Chief Compliance Officer; Vice President, Client Services
    since 02/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Brentwood, TN
What changed
consecutive filings, newest first
  • BD registered reps · 0 to 2
    Mar 29, 2016 to May 31, 2016
  • Insurance-licensed employees · 0 to 3
    Mar 29, 2016 to May 31, 2016
  • Accounts · unset to 36.0
    Feb 25, 2016 to Mar 29, 2016
  • Advisory employees · 7 to 3
    Feb 25, 2016 to Mar 29, 2016
  • BD registered reps · 6 to 0
    Feb 25, 2016 to Mar 29, 2016
  • Employees · 8 to 5
    Feb 25, 2016 to Mar 29, 2016
  • Insurance-licensed employees · 4 to 0
    Feb 25, 2016 to Mar 29, 2016
  • Financial planning clients · 0 to unset
    Feb 25, 2016 to Mar 29, 2016
  • State-registered IARs · 2 to 3
    Feb 25, 2016 to Mar 29, 2016
  • Discretionary RAUM · unset to 0.0
    Feb 25, 2016 to Mar 29, 2016
  • Non-discretionary RAUM · unset to 1415321291.0
    Feb 25, 2016 to Mar 29, 2016
  • RAUM · unset to 1415321291.0
    Feb 25, 2016 to Mar 29, 2016
  • Related adviser · true to false
    Feb 25, 2016 to Mar 29, 2016
  • Accounts · 4.0 to unset
    Jan 9, 2015 to Mar 27, 2015
  • Advisory employees · 4 to 7
    Jan 9, 2015 to Mar 27, 2015
  • BD registered reps · 4 to 6
    Jan 9, 2015 to Mar 27, 2015
  • Employees · 4 to 8
    Jan 9, 2015 to Mar 27, 2015
  • Insurance-licensed employees · 0 to 4
    Jan 9, 2015 to Mar 27, 2015
  • State-registered IARs · 0 to 2
    Jan 9, 2015 to Mar 27, 2015
  • Discretionary RAUM · 0.0 to unset
    Jan 9, 2015 to Mar 27, 2015
  • Non-discretionary RAUM · 1023988853.0 to unset
    Jan 9, 2015 to Mar 27, 2015
  • RAUM · 1023988853.0 to unset
    Jan 9, 2015 to Mar 27, 2015
  • Accounts · 0 to 4
    May 8, 2014 to Sep 26, 2014
  • Financial planning clients · unset to 0
    May 8, 2014 to Sep 26, 2014
  • Non-discretionary RAUM · $0 to $1.0B
    May 8, 2014 to Sep 26, 2014
  • RAUM · $0 to $1.0B
    May 8, 2014 to Sep 26, 2014
Signals
1 dated events
  • Ridge Retirement Consultants, Llc filed its initial SEC registration (Form ADV)
    May 8, 2014 · 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.
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