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

R. Applegate & Associates LLC

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 290992SEC 801-112128IAPD
Latest filing Mar 19, 2018
First filing on the tape Nov 8, 2017 · 5 filings
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$182M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$220M as of Mar 19, 2018
Nov 8, 2017$0 then
HNW client RAUM$182M as of Mar 19, 2018
Nov 8, 2017$0 then
State-registered IARs (5.B.3)3 as of Mar 19, 2018
Nov 8, 20173 then
Employees (5.A)3 as of Mar 19, 2018
Nov 8, 20173 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2018; every figure names its basis
RAUM per advisor
$73.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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$182M83%
  • Charitable organizations$24.6M11%
  • Pension and profit-sharing plans$10.2M4.6%
  • Corporations and businesses$3.7M1.7%
Individual clients
0reported
HNW clients
77reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
77reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
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
    • Read Richard Applegate · Managing Membercontrol
      since 11/2017 · owns 75% or more
    • Michael Victor Dibattista · Chief Compliance Officer
      since 11/2017 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 82 to 77
      Jan 23, 2018 to Mar 19, 2018
    • Charity clients · unset to 2.0
      Jan 23, 2018 to Mar 19, 2018
    • Corporate clients · 5 to 2
      Jan 23, 2018 to Mar 19, 2018
    • HNW clients · 76 to 77
      Jan 23, 2018 to Mar 19, 2018
    • Financial planning clients · 0 to 1-10
      Jan 23, 2018 to Mar 19, 2018
    • Discretionary RAUM · $213M to $220M
      Jan 23, 2018 to Mar 19, 2018
    • HNW RAUM · $185M to $182M
      Jan 23, 2018 to Mar 19, 2018
    • Pension RAUM · $0 to $10.2M
      Jan 23, 2018 to Mar 19, 2018
    • RAUM · $213M to $220M
      Jan 23, 2018 to Mar 19, 2018
    • Accounts · 0 to 82
      Nov 30, 2017 to Jan 9, 2018
    • Charity clients · 0.0 to unset
      Nov 30, 2017 to Jan 9, 2018
    • Corporate clients · 0 to 5
      Nov 30, 2017 to Jan 9, 2018
    • HNW clients · 0 to 76
      Nov 30, 2017 to Jan 9, 2018
    • Insurance-licensed employees · 0 to 3
      Nov 30, 2017 to Jan 9, 2018
    • HQ city · unset to PITTSBURGH
      Nov 30, 2017 to Jan 9, 2018
    • HQ state · unset to PA
      Nov 30, 2017 to Jan 9, 2018
    • Discretionary RAUM · $0 to $213M
      Nov 30, 2017 to Jan 9, 2018
    • HNW RAUM · $0 to $185M
      Nov 30, 2017 to Jan 9, 2018
    • RAUM · $0 to $213M
      Nov 30, 2017 to Jan 9, 2018
    Signals
    1 dated events
    • R. Applegate & Associates Llc filed its initial SEC registration (Form ADV)
      Nov 8, 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