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
Ronald Gelok & Associates, LLC
Latest filing May 28, 2026
First filing on the tape May 28, 2026 · 1 filings
RAUM
$74.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$74.6M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
- RAUM per advisor
- $18.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $205,951derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $49.5MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$44.6M60%
- High-net-worth individuals$30.0M40%
- Individual clients
- 200reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 362reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $49.5M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Albert Gelok | Naples, Fl | Nov 17, 2017 | 32 y | 8 |
| Brian Thomas Ginty | Naples, Fl | Feb 15, 2018 | 23 y | 4 |
| Christian Anthony Vivas | Parsippany, Nj | Feb 10, 2025 | 10 y | 0 |
| Daniel Ordway Sherman | Parsippany, Nj | Dec 17, 2025 | 15 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Charles Garofalo to Brookstone Capital Management LLCSep 19, 2025 · Other
- Mark Ramos to Principal Securities, Inc.Jun 12, 2019 · Other
- Edward Thomas Munoz to Principal Securities, Inc.Feb 18, 2019 · Other
Joined, latest
- Daniel Ordway Sherman from MML Investors Services, LLCDec 17, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Charles Garofalo from Edward JonesJul 21, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Mark Ramos from Global Financial Private Capital, Inc.Mar 20, 2018 · Other
- Brian Thomas Ginty from MML Investors Services, LLCFeb 15, 2018 · Other
- Edward Thomas Munoz from Global Financial Private Capital, Inc.Feb 15, 2018 · Other
- Ronald Albert Gelok from Ronald Gelok & AssociatesNov 17, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Jan 4, 2018 · Sarasota, Fl
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 |
|---|---|---|---|---|---|
| Naples, Fl · principal | 4 | 1 | 1 | ||
| Parsippany, Nj | 2 | 1 | 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
1 dated events
- Charles Garofalo left Ronald Gelok & Associates, Llc for Brookstone Capital Management Llc (registered 2025-12-11)Sep 19, 2025 · Advisor changed firm · fact
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
- Website
- RONALDGELOK.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (800) 467-8152reportedpublic record, Form ADV, May 28, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026