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

Greenleaf Advisors

Former SEC-registered adviserRed Bank, New JerseyCRD 172332SEC 801-80155IAPD
Legal name Greenleaf Advisors LLC
Latest filing May 3, 2022
First filing on the tape Jul 28, 2014 · 43 filings
RAUM
$900M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$900M as of May 3, 2022
Mar 6, 2015$1.7B then
HNW client RAUM$0 as of May 3, 2022
Feb 21, 2019$11.0M then
State-registered IARs (5.B.3)3 as of May 3, 2022
Mar 6, 20150 then
Employees (5.A)6 as of May 3, 2022
Mar 6, 20155 then
Private funds: no history
RAUM +24% over the last fiscal year-42% a year over threeIARs 7 to 3offices 3 to 1
Practice profile
derived from the filing of May 3, 2022; every figure names its basis
RAUM per advisor
$300MderivedRAUM 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
$15.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
-57%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$900MreportedItem 5.I
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
  • Pension and profit-sharing plans$900M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
58reported
Charitable clients
0reported
Accounts
58reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dorann Jamie Greenleaf · Principal Ownercontrol
      since 07/2014 · owns 50% to 75%
    • King Wayne Greenleaf · Owner And Chief Compliance Officercontrol
      since 07/2014 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Houston, TX1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 34 to 58
      Dec 8, 2021 to May 3, 2022
    • Advisory employees · 9 to 4
      Dec 8, 2021 to May 3, 2022
    • BD registered reps · 9 to 2
      Dec 8, 2021 to May 3, 2022
    • Pension plan clients · 34 to 58
      Dec 8, 2021 to May 3, 2022
    • Employees · 15 to 6
      Dec 8, 2021 to May 3, 2022
    • Insurance-licensed employees · 2 to 1
      Dec 8, 2021 to May 3, 2022
    • State-registered IARs · 7 to 3
      Dec 8, 2021 to May 3, 2022
    • Other offices · 3 to 1
      Dec 8, 2021 to May 3, 2022
    • Non-discretionary RAUM · $727M to $900M
      Dec 8, 2021 to May 3, 2022
    • Pension RAUM · $727M to $900M
      Dec 8, 2021 to May 3, 2022
    • RAUM · $727M to $900M
      Dec 8, 2021 to May 3, 2022
    • Accounts · 367 to 34
      Jun 11, 2020 to Mar 29, 2021
    • Individual clients · 43 to 0
      Jun 11, 2020 to Mar 29, 2021
    • Pension plan clients · 312 to 34
      Jun 11, 2020 to Mar 29, 2021
    • Discretionary RAUM · $156M to $0
      Jun 11, 2020 to Mar 29, 2021
    • Individual RAUM · $21.6M to $0
      Jun 11, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $4.6B to $727M
      Jun 11, 2020 to Mar 29, 2021
    • Pension RAUM · $4.7B to $727M
      Jun 11, 2020 to Mar 29, 2021
    • RAUM · $4.8B to $727M
      Jun 11, 2020 to Mar 29, 2021
    • Accounts · 260 to 367
      Jan 24, 2020 to Mar 16, 2020
    • HNW clients · 5 to 0
      Jan 24, 2020 to Mar 16, 2020
    • Individual clients · 25 to 43
      Jan 24, 2020 to Mar 16, 2020
    • Pension plan clients · 230 to 312
      Jan 24, 2020 to Mar 16, 2020
    • Discretionary RAUM · $140M to $156M
      Jan 24, 2020 to Mar 16, 2020
    • HNW RAUM · $11.0M to $0
      Jan 24, 2020 to Mar 16, 2020
    • Individual RAUM · $11.0M to $21.6M
      Jan 24, 2020 to Mar 16, 2020
    • Non-discretionary RAUM · $4.4B to $4.6B
      Jan 24, 2020 to Mar 16, 2020
    • Pension RAUM · $4.5B to $4.7B
      Jan 24, 2020 to Mar 16, 2020
    • RAUM · $4.5B to $4.8B
      Jan 24, 2020 to Mar 16, 2020
    • Advisory employees · 10 to 9
      Oct 8, 2019 to Jan 24, 2020
    • Employees · 16 to 15
      Oct 8, 2019 to Jan 24, 2020
    • State-registered IARs · 8 to 7
      Oct 8, 2019 to Jan 24, 2020
    • Advisory employees · 9 to 10
      Jun 19, 2019 to Aug 20, 2019
    • Employees · 15 to 16
      Jun 19, 2019 to Aug 20, 2019
    • State-registered IARs · 7 to 8
      Jun 19, 2019 to Aug 20, 2019
    • Advisory employees · 10 to 9
      Mar 13, 2019 to Jun 19, 2019
    • Employees · 16 to 15
      Mar 13, 2019 to Jun 19, 2019
    • State-registered IARs · 8 to 7
      Mar 13, 2019 to Jun 19, 2019
    • Other offices · 4 to 3
      Mar 13, 2019 to Jun 19, 2019
    • Advisory employees · 9 to 10
      Feb 21, 2019 to Mar 1, 2019
    Signals
    4 dated events
    • Joseph David Gastaldi left Greenleaf Advisors for Alden Investment Group (registered 2023-01-17)
      Nov 30, 2022 · Advisor changed firm · fact
    • Greenleaf Advisors reported RAUM $726.9M, down 85% from $4.8B (2020-06-11 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • Greenleaf Advisors reported RAUM $4.5B, up 87% from $2.4B (2019-01-24 to 2019-02-21)
      Feb 21, 2019 · RAUM change · derived
    • Greenleaf Advisors filed its initial SEC registration (Form ADV)
      Jul 28, 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