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

Gary Goldberg Planning Services

Former SEC-registered adviserLocust Valley, New YorkCRD 173565SEC 801-81097IAPD
Legal name Gary Goldberg Planning Services, LLC
Latest filing Nov 4, 2022
First filing on the tape Mar 3, 2015 · 39 filings
RAUM
$486M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
100%
$486M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$486M as of Apr 1, 2022
Mar 30, 2016$738M then
HNW client RAUM$414M as of Apr 1, 2022
Mar 30, 2018$132M then
State-registered IARs (5.B.3)4 as of Apr 1, 2022
Mar 30, 201617 then
Employees (5.A)26 as of Apr 1, 2022
Mar 30, 201644 then
Private funds: no history
RAUM -64% over the last fiscal year-21% a year over threeIARs 17 to 4offices 7 to 1
Practice profile
derived from the filing of Nov 4, 2022; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.3MderivedHNW RAUM over HNW clients
Average account
$994,995derivedRAUM over accounts (5.F.2.f)
Discretionary
50%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-64%derivedbetween the last two annual amendments
Advisor growth, one year
-76%derivedItem 5.B.3 between annual amendments
Client growth, one year
-91%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.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$414M85%
  • Individuals$71.8M15%
Individual clients
438reported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
488reported
Financial planning clients
1-10reported
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
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
  • John Matthew Bruderman · Chairman And Chief Executive Officercontrol
    since 02/2015 · owns less than 5%
  • John Matthew Bruderman · Trusteecontrol
    since 09/2014 · owns 75% or more of Kerri Beth Bruderman Family Trust
Entity owners
  • Bruderman & Company LLC · Shareholder
    direct · owns 75% or more
  • Kerri Beth Bruderman Family Trust · Shareholder
    indirect · owns 75% or more of Bruderman & Company LLC
Related persons
Schedule D 7.A
Advisers that list Gary Goldberg Planning Services as a related person
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Business name · BRUDERMAN ASSET MANAGEMENT, LLC to GARY GOLDBERG PLANNING SERVICES
    Oct 20, 2022 to Nov 4, 2022
  • Legal name · BRUDERMAN ASSET MANAGEMENT, LLC to GARY GOLDBERG PLANNING SERVICES, LLC
    Oct 19, 2022 to Oct 20, 2022
  • Accounts · 5,313 to 488
    Nov 15, 2021 to Apr 1, 2022
  • Advisory employees · 21 to 8
    Nov 15, 2021 to Apr 1, 2022
  • BD registered reps · 35 to 11
    Nov 15, 2021 to Apr 1, 2022
  • HNW clients · 170 to 50
    Nov 15, 2021 to Apr 1, 2022
  • Individual clients · 5,143 to 438
    Nov 15, 2021 to Apr 1, 2022
  • Employees · 35 to 26
    Nov 15, 2021 to Apr 1, 2022
  • State-registered IARs · 17 to 4
    Nov 15, 2021 to Apr 1, 2022
  • Other offices · 7 to 1
    Nov 15, 2021 to Apr 1, 2022
  • Discretionary RAUM · $1.2B to $241M
    Nov 15, 2021 to Apr 1, 2022
  • HNW RAUM · $431M to $414M
    Nov 15, 2021 to Apr 1, 2022
  • Individual RAUM · $907M to $71.8M
    Nov 15, 2021 to Apr 1, 2022
  • Non-discretionary RAUM · $166M to $245M
    Nov 15, 2021 to Apr 1, 2022
  • RAUM · $1.3B to $486M
    Nov 15, 2021 to Apr 1, 2022
  • Accounts · 5,929 to 5,313
    Oct 8, 2020 to Mar 31, 2021
  • Advisory employees · 30 to 21
    Oct 8, 2020 to Mar 31, 2021
  • HNW clients · 111 to 170
    Oct 8, 2020 to Mar 31, 2021
  • Individual clients · 5,818 to 5,143
    Oct 8, 2020 to Mar 31, 2021
  • Employees · 43 to 35
    Oct 8, 2020 to Mar 31, 2021
  • State-registered IARs · 35 to 17
    Oct 8, 2020 to Mar 31, 2021
  • Other offices · 9 to 7
    Oct 8, 2020 to Mar 31, 2021
  • Discretionary RAUM · $912M to $1.2B
    Oct 8, 2020 to Mar 31, 2021
  • HNW RAUM · $305M to $431M
    Oct 8, 2020 to Mar 31, 2021
  • Individual RAUM · $994M to $907M
    Oct 8, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $387M to $166M
    Oct 8, 2020 to Mar 31, 2021
  • RAUM · $1.3B to $1.3B
    Oct 8, 2020 to Mar 31, 2021
  • Accounts · 5,183 to 5,929
    Jan 9, 2020 to Mar 31, 2020
  • Advisory employees · 26 to 30
    Jan 9, 2020 to Mar 31, 2020
  • BD registered reps · 26 to 35
    Jan 9, 2020 to Mar 31, 2020
  • HNW clients · 15 to 111
    Jan 9, 2020 to Mar 31, 2020
  • Individual clients · 2,158 to 5,818
    Jan 9, 2020 to Mar 31, 2020
  • Employees · 40 to 43
    Jan 9, 2020 to Mar 31, 2020
  • State-registered IARs · 23 to 35
    Jan 9, 2020 to Mar 31, 2020
  • Other offices · 10 to 9
    Jan 9, 2020 to Mar 31, 2020
  • Discretionary RAUM · $870M to $912M
    Jan 9, 2020 to Mar 31, 2020
  • HNW RAUM · $150M to $305M
    Jan 9, 2020 to Mar 31, 2020
  • Individual RAUM · $819M to $994M
    Jan 9, 2020 to Mar 31, 2020
  • Non-discretionary RAUM · $98.9M to $387M
    Jan 9, 2020 to Mar 31, 2020
  • RAUM · $969M to $1.3B
    Jan 9, 2020 to Mar 31, 2020
Signals
23 dated events
  • Robert William Bruderman left Gary Goldberg Planning Services for Bruderman Private Wealth (registered 2023-08-09)
    Dec 31, 2022 · Advisor changed firm · fact
  • Andrew Joseph Leblanc left Gary Goldberg Planning Services for Sanctuary Advisors, Llc (registered 2022-12-21)
    Dec 31, 2022 · Advisor changed firm · fact
  • Karen J Winfrey-Leake left Gary Goldberg Planning Services for Sanctuary Advisors, Llc (registered 2022-12-05)
    Dec 31, 2022 · Advisor changed firm · fact
  • James Matthew Bruderman left Gary Goldberg Planning Services for Bruderman Private Wealth (registered 2022-10-18)
    Oct 19, 2022 · Advisor changed firm · fact
  • Matthew James Bruderman (President) no longer on Schedule A of Gary Goldberg Planning Services (listed 2022-10-11, absent 2022-10-19)
    Oct 19, 2022 · Control person left · inference
  • Gary Goldberg Planning Services reported 4 state-registered advisory representatives, down from 17 (2021-11-15 to 2022-04-01)
    Apr 1, 2022 · Advisor headcount change · derived
  • Gary Goldberg Planning Services reported 1 offices beyond its principal office, down from 7 (2021-11-15 to 2022-04-01)
    Apr 1, 2022 · Office count change · derived
  • Gary Goldberg Planning Services reported RAUM $485.6M, down 64% from $1.3B (2021-11-15 to 2022-04-01)
    Apr 1, 2022 · RAUM change · derived
  • Daniel John O'Reilly left Gary Goldberg Planning Services for Ameriprise Financial Services, Llc (registered 2022-03-09)
    Mar 8, 2022 · Advisor changed firm · fact
  • Philip C Kersting left Gary Goldberg Planning Services for Ameriprise Financial Services, Llc (registered 2022-01-06)
    Jan 11, 2022 · Advisor changed firm · fact
  • Scott Andrew Klick (Chief Compliance Officer) appeared on Schedule A of Gary Goldberg Planning Services
    Nov 10, 2021 · Control person joined · fact
  • J. Miles Edwards (Chief Compliance Officer And General Counsel) no longer on Schedule A of Gary Goldberg Planning Services (listed 2021-03-31, absent 2021-10-15)
    Oct 15, 2021 · Control person left · inference
  • Gary Goldberg Planning Services reported 17 state-registered advisory representatives, down from 35 (2020-10-08 to 2021-03-31)
    Mar 31, 2021 · Advisor headcount change · derived
  • Edward Robert Gaudio (Manging Director, Operations) no longer on Schedule A of Gary Goldberg Planning Services (listed 2020-06-29, absent 2020-10-08)
    Oct 8, 2020 · Control person left · inference
  • Gary Goldberg Planning Services reported 35 state-registered advisory representatives, up from 23 (2020-01-09 to 2020-03-31)
    Mar 31, 2020 · Advisor headcount change · derived
  • Gary Goldberg Planning Services reported RAUM $1.3B, up 34% from $969.0M (2020-01-09 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Marisa Jannine Barbosa (Chief Operating Officer) no longer on Schedule A of Gary Goldberg Planning Services (listed 2019-11-26, absent 2019-12-20)
    Dec 20, 2019 · Control person left · inference
  • Edward Robert Gaudio (Manging Director, Operations) appeared on Schedule A of Gary Goldberg Planning Services
    Dec 20, 2019 · Control person joined · fact
  • Matthew James Bruderman (President) appeared on Schedule A of Gary Goldberg Planning Services
    Mar 29, 2019 · Control person joined · fact
  • J. Miles Edwards (Chief Compliance Officer And General Counsel) appeared on Schedule A of Gary Goldberg Planning Services
    Mar 29, 2019 · Control person joined · fact
  • Marisa Jannine Barbosa (Chief Operating Officer) appeared on Schedule A of Gary Goldberg Planning Services
    Mar 29, 2019 · Control person joined · fact
  • Gary Goldberg Planning Services reported RAUM $1.1B, up 27% from $863.6M (2017-08-15 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
  • Bruderman Asset Management, Llc filed its initial SEC registration (Form ADV)
    Mar 3, 2015 · 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