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

Robustwealth, Inc.

Former SEC-registered adviserLambertville, New JerseyCRD 269919SEC 801-110528IAPD
Latest filing Jul 1, 2021
First filing on the tape Apr 26, 2017 · 57 filings
RAUM
$856M
reported, Item 5.F
Discretionary
27%
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
123
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$856M as of Mar 26, 2021
Feb 5, 2018$867M then
HNW client RAUM: no history
State-registered IARs (5.B.3)17 as of Mar 26, 2021
Feb 5, 201810 then
Employees (5.A)123 as of Mar 26, 2021
Feb 5, 201828 then
Private funds: no history
RAUM +1.4% over the last fiscal year-0.4% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Jul 1, 2021; every figure names its basis
RAUM per advisor
$50.4MderivedRAUM 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
$123,694derivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.2derivedItem 5.A over advisors
Advisors per office
5.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
  • 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
  • Other investment advisers$856M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6,920reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Douglas Ryan Downing · Chief Executive Officercontrol
    since 10/2020 · owns less than 5%
  • A Kathleen Kay · Senior Vp/Chief Information Officercontrol
    since 12/2020 · owns less than 5%
  • William Gerald Patterson · Directorcontrol
    since 07/2018 · owns less than 5%
  • W Ellen Shumway · Directorcontrol
    since 07/2018 · owns less than 5%
  • John Andrew Donohue · Chief Compliance Officer
    since 01/2019 · owns less than 5%
  • Louis Christopher Kerins · Chief Technology Officer
    since 07/2015 · owns less than 5%
Entity owners
  • Principal Innovations, Inc. · Owner
    direct · owns 75% or more
  • Principal Financial Group, Inc. · Owner
    indirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
  • Principal Financial Services, Inc. · Owner
    indirect · owns 75% or more of Principal Innovations, Inc.
Related persons
Schedule D 7.A
  • Claritas Investments Ltd.
    investment adviserpooled vehicle sponsorn
  • Delaware Charter Guarantee & Trust Company
    n
  • Principal Origin
    investment adviserpooled vehicle sponsornRAUM $4.6B
  • Post Advisory Group, LLC
    investment adviserbankpooled vehicle sponsornRAUM $13B
  • Principal Advised Services
    investment advisernRAUM $1.4B
  • Principal Bank
    n
  • Principal Enterprise Capital, LLC
    investment advisern
  • Principal Funds Distributor, Inc.
    broker-dealern
  • Principal Global Investors (Australia) Ltd
    investment advisern
  • Principal Global Investors (Eu) Limited
    investment advisern
  • Principal Global Investors (Europe) Ltd
    investment advisern
  • Principal Global Investors (Hong Kong) Limited
    investment advisernRAUM $3.4B
  • Principal Global Investors (Ireland) Ltd
    investment adviserpooled vehicle sponsorn
  • Principal Global Investors (Japan) Ltd
    investment adviserpooled vehicle sponsorn
  • Principal Global Investors (Singapore) Ltd
    investment advisern
  • Principal Global Investors (Switzerland) Gmbh
    investment advisern
  • Principal Global Investors Trust Company
    n
  • Principal Asset Management
    investment adviserbankpooled vehicle sponsornRAUM $428B
  • Principal Life Insurance Company
    real estaten
  • Principal Real Estate
    investment adviserpooled vehicle sponsornRAUM $106B
  • Principal Real Estate Kapitalverwaltungsgesellschaft Mbh
    investment adviserpooled vehicle sponsorn
  • Principal Real Estate Limited
    investment adviserpooled vehicle sponsorn
  • Principal Real Estate S.A.R.L.
    investment adviserpooled vehicle sponsorn
  • Principal Real Estate Sas
    investment adviserpooled vehicle sponsorn
  • Principal Real Estate Spezialfondsgesellschaft Mbh
    investment adviserpooled vehicle sponsorn
  • Principal Securities, Inc.
    broker-dealerinvestment advisernRAUM $17B
  • Sami Brokerage, LLC
    broker-dealern
  • Spectrum Asset Management, Inc.
    investment adviserbanknRAUM $18B
Advisers that list Robustwealth, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO6 employees
  • Seattle, WA2 employees
What changed
consecutive filings, newest first
  • Accounts · 5,409 to 6,920
    Mar 30, 2020 to Mar 26, 2021
  • Advisory employees · 31 to 2
    Mar 30, 2020 to Mar 26, 2021
  • Advisory activities · 4 to 3
    Mar 30, 2020 to Mar 26, 2021
  • Charity clients · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Corporate clients · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • HNW clients · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Individual clients · 25.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Pension plan clients · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Pooled vehicle clients · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Employees · 78 to 123
    Mar 30, 2020 to Mar 26, 2021
  • Discretionary RAUM · $110M to $231M
    Mar 30, 2020 to Mar 26, 2021
  • Individual RAUM · 4597590.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Non-discretionary RAUM · $734M to $625M
    Mar 30, 2020 to Mar 26, 2021
  • RAUM · $844M to $856M
    Mar 30, 2020 to Mar 26, 2021
  • Wrap assets (manager) · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 30, 2020 to Mar 26, 2021
  • Accounts · 5,680 to 5,409
    May 16, 2019 to Mar 26, 2020
  • Advisory employees · 33 to 31
    May 16, 2019 to Mar 26, 2020
  • Advisory activities · 5 to 4
    May 16, 2019 to Mar 26, 2020
  • BD registered reps · 1 to 0
    May 16, 2019 to Mar 26, 2020
  • Charity clients · unset to 0.0
    May 16, 2019 to Mar 26, 2020
  • Corporate clients · unset to 0.0
    May 16, 2019 to Mar 26, 2020
  • HNW clients · unset to 0.0
    May 16, 2019 to Mar 26, 2020
  • Individual clients · 21 to 25
    May 16, 2019 to Mar 26, 2020
  • Pension plan clients · unset to 0.0
    May 16, 2019 to Mar 26, 2020
  • Pooled vehicle clients · unset to 0.0
    May 16, 2019 to Mar 26, 2020
  • Employees · 66 to 78
    May 16, 2019 to Mar 26, 2020
  • Insurance-licensed employees · 1 to 0
    May 16, 2019 to Mar 26, 2020
  • Other offices · 3 to 2
    May 16, 2019 to Mar 26, 2020
  • Discretionary RAUM · $111M to $110M
    May 16, 2019 to Mar 26, 2020
  • Individual RAUM · $3.7M to $4.6M
    May 16, 2019 to Mar 26, 2020
  • Non-discretionary RAUM · $717M to $734M
    May 16, 2019 to Mar 26, 2020
  • RAUM · $828M to $844M
    May 16, 2019 to Mar 26, 2020
  • Accounts · 4,745 to 5,680
    Jan 23, 2019 to Mar 29, 2019
  • Advisory employees · 32 to 33
    Jan 23, 2019 to Mar 29, 2019
  • BD registered reps · 0 to 1
    Jan 23, 2019 to Mar 29, 2019
  • Individual clients · 19 to 21
    Jan 23, 2019 to Mar 29, 2019
  • Employees · 54 to 66
    Jan 23, 2019 to Mar 29, 2019
  • Discretionary RAUM · $41.5M to $111M
    Jan 23, 2019 to Mar 29, 2019
  • Individual RAUM · $2.4M to $3.7M
    Jan 23, 2019 to Mar 29, 2019
Signals
7 dated events
  • John Michael Kerins (Chief Executive Officer) no longer on Schedule A of Robustwealth, Inc. (listed 2021-03-26, absent 2021-06-30)
    Jun 30, 2021 · Control person left · inference
  • A Kathleen Kay (Senior Vp/Chief Information Officer) appeared on Schedule A of Robustwealth, Inc.
    Mar 26, 2021 · Control person joined · fact
  • W Ellen Shumway (Director) appeared on Schedule A of Robustwealth, Inc.
    Mar 26, 2021 · Control person joined · fact
  • Ryan Downing (Ceo) appeared on Schedule A of Robustwealth, Inc.
    Mar 26, 2021 · Control person joined · fact
  • William Gerald Patterson (Director) appeared on Schedule A of Robustwealth, Inc.
    Mar 26, 2021 · Control person joined · fact
  • Robustwealth Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 23, 2018 · Succession (Item 4) · fact
  • Robustwealth filed its initial SEC registration (Form ADV)
    Apr 26, 2017 · 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