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
Auerbach Investment Services, LLC
Latest filing May 15, 2026
First filing on the tape Mar 26, 2026 · 2 filings
SEC status approved since Mar 17, 2026
RAUM
$150M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
83%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.1M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$150M as of May 15, 2026
Mar 26, 2026$150M then
HNW client RAUM$119M as of May 15, 2026
Mar 26, 2026$119M then
State-registered IARs (5.B.3)2 as of May 15, 2026
Mar 26, 20262 then
Employees (5.A)2 as of May 15, 2026
Mar 26, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$119M79%
- Corporations and businesses$20.2M13%
- Individuals$6.0M4.0%
- Pension and profit-sharing plans$3.7M2.4%
- Charitable organizations$1.3M0.8%
- Individual clients
- 17reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 112reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin AuerbachChartered Financial Consultant | Narberth, Pa | Nov 13, 2017 | 31 y | 6 |
| Jessica Kagin-Tropea | Narberth, Pa | Jun 3, 2023 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- James Adam Gonnason to Almanack Investment PartnersSep 15, 2021 · RIA to RIA
Joined, latest
- James Adam Gonnason from Hornor, Townsend & Kent, LLCMar 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- Kevin Auerbach from Brookstone Capital Management LLCNov 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Narberth, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- Business email
- maureen@auerbachinvestment.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 484-273-0900reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- AUERBACHINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-529-3000reportedpublic record, Form ADV, May 15, 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
- $75.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026