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
Reaves Asset Management
Legal name W. H. Reaves & Co., Inc.
Latest filing Feb 10, 2026
First filing on the tape Feb 28, 2012 · 29 filings
SEC status approved since Oct 1, 1977
RAUM
$5.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.3%
$258M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.9B
derived; firm RAUM over IAPD count
Employees
21
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$5.9B as of Feb 10, 2026
Feb 28, 2012$2.2B then
HNW client RAUM$29.9M as of Feb 10, 2026
Mar 26, 2018$47.8M then
State-registered IARs (5.B.3)1 as of Feb 10, 2026
Feb 15, 20132 then
Employees (5.A)21 as of Feb 10, 2026
Feb 15, 201327 then
Private funds: no history
RAUM +45% over the last fiscal year+24% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 266derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.0MderivedHNW RAUM over HNW clients
- Average account
- $21.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 21.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$5.7B95%
- Individuals$228M3.8%
- High-net-worth individuals$29.9M0.5%
- Corporations and businesses$18.2M0.3%
- Charitable organizations$13.1M0.2%
- Individual clients
- 263reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 283reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $142M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.04 fund_share=0.95 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald James Sorenson | Jersey City, Nj | Nov 28, 2003 | 34 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Prentiss John Bartlett · Presidentcontrolsince 07/2019 · owns less than 5%
- Marc David Pass · Vice President, Secretary, Chief Operating Officer, Cfocontrolsince 07/2019 · owns 10% to 25%
- Ottaviano Timothy Porter · Vice Presidentcontrolsince 06/2007 · owns 10% to 25%
- Burns Joseph Rhame · Ceocontrolsince 05/2010 · owns 10% to 25%
- Wallace Brian Weeks · Vice Presidentcontrolsince 03/2015 · owns 10% to 25%
- Stephen Gavlick · Chief Compliance Officersince 07/2022 · owns less than 5%
Entity owners
- John Bartlett Gst - Exempt Trust · Shareholderdirect · owns 10% to 25%
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 · 300 to 283Feb 11, 2025 to Feb 10, 2026
- Advisory employees · 8 to 7Feb 11, 2025 to Feb 10, 2026
- Corporate clients · 6 to 7Feb 11, 2025 to Feb 10, 2026
- HNW clients · 5 to 3Feb 11, 2025 to Feb 10, 2026
- Individual clients · 279 to 263Feb 11, 2025 to Feb 10, 2026
- Employees · 22 to 21Feb 11, 2025 to Feb 10, 2026
- Discretionary RAUM · $4.1B to $5.9BFeb 11, 2025 to Feb 10, 2026
- HNW RAUM · $49.3M to $29.9MFeb 11, 2025 to Feb 10, 2026
- Individual RAUM · $186M to $228MFeb 11, 2025 to Feb 10, 2026
- RAUM · $4.1B to $5.9BFeb 11, 2025 to Feb 10, 2026
- Wrap assets (manager) · $124M to $142MFeb 11, 2025 to Feb 10, 2026
- Accounts · 457 to 300Feb 5, 2024 to Feb 11, 2025
- BD registered reps · 5 to 6Feb 5, 2024 to Feb 11, 2025
- Charity clients · 8 to 7Feb 5, 2024 to Feb 11, 2025
- Corporate clients · 13 to 6Feb 5, 2024 to Feb 11, 2025
- HNW clients · 2 to 5Feb 5, 2024 to Feb 11, 2025
- Individual clients · 430 to 279Feb 5, 2024 to Feb 11, 2025
- Financial planning clients · unset to Feb 5, 2024 to Feb 11, 2025
- Discretionary RAUM · $3.1B to $4.1BFeb 5, 2024 to Feb 11, 2025
- HNW RAUM · $23.3M to $49.3MFeb 5, 2024 to Feb 11, 2025
- Individual RAUM · $213M to $186MFeb 5, 2024 to Feb 11, 2025
- RAUM · $3.1B to $4.1BFeb 5, 2024 to Feb 11, 2025
- Wrap assets (manager) · $141M to $124MFeb 5, 2024 to Feb 11, 2025
- Accounts · 642 to 457Feb 16, 2023 to Feb 5, 2024
- BD registered reps · 4 to 5Feb 16, 2023 to Feb 5, 2024
- Charity clients · 13 to 8Feb 16, 2023 to Feb 5, 2024
- Corporate clients · 12 to 13Feb 16, 2023 to Feb 5, 2024
- HNW clients · 4 to 2Feb 16, 2023 to Feb 5, 2024
- Individual clients · 604 to 430Feb 16, 2023 to Feb 5, 2024
- Pension plan clients · 5 to 0Feb 16, 2023 to Feb 5, 2024
- Employees · 21 to 22Feb 16, 2023 to Feb 5, 2024
- Discretionary RAUM · $3.1B to $3.1BFeb 16, 2023 to Feb 5, 2024
- HNW RAUM · $41.7M to $23.3MFeb 16, 2023 to Feb 5, 2024
- Individual RAUM · $251M to $213MFeb 16, 2023 to Feb 5, 2024
- Pension RAUM · $1.2M to $0Feb 16, 2023 to Feb 5, 2024
- RAUM · $3.1B to $3.1BFeb 16, 2023 to Feb 5, 2024
- Accounts · 665 to 642Aug 2, 2022 to Feb 16, 2023
- Advisory activities · 4 to 3Aug 2, 2022 to Feb 16, 2023
- BD registered reps · 6 to 4Aug 2, 2022 to Feb 16, 2023
- Corporate clients · 19 to 12Aug 2, 2022 to Feb 16, 2023
Signals
7 dated events
- Reaves Asset Management reported RAUM $5.9B, up 45% from $4.1B (2025-02-11 to 2026-02-10)Feb 10, 2026 · RAUM change · derived
- Reaves Asset Management reported RAUM $4.1B, up 33% from $3.1B (2024-02-05 to 2025-02-11)Feb 11, 2025 · RAUM change · derived
- Wendy Alison Davis-Rodriguez (Vice President, Chief Compliance Officer) no longer on Schedule A of Reaves Asset Management (listed 2022-07-28, absent 2022-08-02)Aug 2, 2022 · Control person left · inference
- Avrum William Ferer (Vice President) no longer on Schedule A of Reaves Asset Management (listed 2021-02-17, absent 2021-04-08)Apr 8, 2021 · Control person left · inference
- James Ronald Sorenson (Chairman) no longer on Schedule A of Reaves Asset Management (listed 2021-02-17, absent 2021-04-08)Apr 8, 2021 · Control person left · inference
- O Rowland Wilhelm (Shareholder) no longer on Schedule A of Reaves Asset Management (listed 2020-02-18, absent 2020-04-16)Apr 16, 2020 · Control person left · inference
- Wendy Alison Davis-Rodriguez (Vice President, Chief Compliance Officer) appeared on Schedule A of Reaves Asset ManagementJul 9, 2019 · Control person joined · 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
- REAVESAM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-332-4596reportedpublic record, Form ADV, Feb 10, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026