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.
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SEC-registered adviser
B•••••••• P•••••• W•••••
Legal name J••• B•••••••• • C••••••• L••
Latest filing Feb 28, 2026
First filing on the tape Aug 29, 2022 · 14 filings
SEC status approved since Sep 30, 2022
RAUM
$78.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$76.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$26.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$78.5M as of Feb 28, 2026
Apr 1, 2023$114M then
HNW client RAUM$69.6M as of Feb 28, 2026
Apr 1, 2023$94.6M then
State-registered IARs (5.B.3)3 as of Feb 28, 2026
Apr 1, 20232 then
Employees (5.A)5 as of Feb 28, 2026
Apr 1, 20235 then
Private funds: no history
RAUM -35% over the last fiscal year-12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 28, 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
- RAUM per advisor
- $26.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$69.6M89%
- Individuals$6.9M8.8%
- Charitable organizations$2.0M2.5%
- Individual clients
- 11reported
- HNW clients
- 22reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 33reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 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 |
|---|---|---|---|---|
| J•••• M•••••• B•••••••• | Locust Valley, Ny | Oct 18, 2022 | 34 y | 1 |
| R••••• W•••••• B•••••••• | Locust Valley, Ny | Aug 9, 2023 | 44 y | 3 |
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
- J••••• M• B•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 3, 2023 · Wirehouse to independent RIA
- R••••• W•••••• B•••••••• from G••• G••••••• P••••••• S•••••••Aug 9, 2023 · RIA to RIA
- J•••• M•••••• B•••••••• from G••• G••••••• P••••••• S•••••••Oct 18, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••• M•••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Locust Valley, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 28, 2026discretionary share of RAUM moved from 64.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-02-28peers: independent wealth managers, under $100M (704)
- RAUM down 25 %Change between filings · filing Feb 28, 2026RAUM (Item 5.F) moved from $121,483,031 to $78,514,722 (-35.0%) between the annual amendments of 2025-03-31 and 2026-02-28; the peer median change was +8.0% (219 comparable advisers, 9.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 8.7% percentile
What changed
consecutive filings, newest first
- Accounts · 46 to 33Jun 13, 2025 to Feb 28, 2026
- HNW clients · 24 to 22Jun 13, 2025 to Feb 28, 2026
- Individual clients · 10 to 11Jun 13, 2025 to Feb 28, 2026
- Financial planning clients · 1-10 to 11-25Jun 13, 2025 to Feb 28, 2026
- Discretionary RAUM · $64.0M to $78.5MJun 13, 2025 to Feb 28, 2026
- HNW RAUM · $57.8M to $69.6MJun 13, 2025 to Feb 28, 2026
- Individual RAUM · $6.5M to $6.9MJun 13, 2025 to Feb 28, 2026
- Non-discretionary RAUM · $2.3M to $0Jun 13, 2025 to Feb 28, 2026
- RAUM · $66.3M to $78.5MJun 13, 2025 to Feb 28, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jun 13, 2025
- Discretionary RAUM · $78.2M to $64.0MMar 31, 2025 to Jun 13, 2025
- HNW RAUM · $113M to $57.8MMar 31, 2025 to Jun 13, 2025
- Individual RAUM · $3.5M to $6.5MMar 31, 2025 to Jun 13, 2025
- Non-discretionary RAUM · $43.2M to $2.3MMar 31, 2025 to Jun 13, 2025
- Pension RAUM · 2500000.0 to unsetMar 31, 2025 to Jun 13, 2025
- RAUM · $121M to $66.3MMar 31, 2025 to Jun 13, 2025
- Accounts · 26 to 46Apr 1, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Apr 1, 2024 to Mar 31, 2025
- HNW clients · 13 to 24Apr 1, 2024 to Mar 31, 2025
- Individual clients · 12 to 10Apr 1, 2024 to Mar 31, 2025
- Employees · 6 to 5Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $94.7M to $78.2MApr 1, 2024 to Mar 31, 2025
- HNW RAUM · $102M to $113MApr 1, 2024 to Mar 31, 2025
- Individual RAUM · $13.5M to $3.5MApr 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $28.9M to $43.2MApr 1, 2024 to Mar 31, 2025
- Pension RAUM · $6.5M to $2.5MApr 1, 2024 to Mar 31, 2025
- RAUM · $124M to $121MApr 1, 2024 to Mar 31, 2025
- Accounts · 19 to 26Aug 28, 2023 to Apr 1, 2024
- HNW clients · 12 to 13Aug 28, 2023 to Apr 1, 2024
- Individual clients · 6 to 12Aug 28, 2023 to Apr 1, 2024
- Other offices · 0 to 2Aug 28, 2023 to Apr 1, 2024
- Discretionary RAUM · $84.4M to $94.7MAug 28, 2023 to Apr 1, 2024
- HNW RAUM · $94.6M to $102MAug 28, 2023 to Apr 1, 2024
- Individual RAUM · $8.0M to $13.5MAug 28, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $29.7M to $28.9MAug 28, 2023 to Apr 1, 2024
- Pension RAUM · $9.7M to $6.5MAug 28, 2023 to Apr 1, 2024
- RAUM · $114M to $124MAug 28, 2023 to Apr 1, 2024
- Advisory employees · 4 to 5Apr 1, 2023 to Aug 28, 2023
- Employees · 5 to 6Apr 1, 2023 to Aug 28, 2023
- State-registered IARs · 2 to 3Apr 1, 2023 to Aug 28, 2023
Signals
1 dated events
- A•• I••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@brudermanprivatewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-930-4250reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/bruderman-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- brudermanprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-974-7596reportedpublic record, Form ADV, Feb 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $26.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026