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
First Manhattan Co. LLC
Latest filing Aug 13, 2026
First filing on the tape Feb 9, 2023 · 18 filings
SEC status approved since Jan 13, 1977
RAUM
$38B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
89%
$34B individuals and HNW
Advisors
65
registered through the firm on IAPD
RAUM per advisor
$586M
derived; firm RAUM over IAPD count
Employees
147
51 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
9
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$38B as of Aug 13, 2026
Mar 31, 2023$24B then
HNW client RAUM$33B as of Aug 13, 2026
Mar 31, 2023$20B then
State-registered IARs (5.B.3)56 as of Aug 13, 2026
Mar 31, 202345 then
Employees (5.A)147 as of Aug 13, 2026
Mar 31, 2023130 then
Private funds9 as of Aug 13, 2026
Mar 31, 202314 then
RAUM +11% over the last fiscal year+17% a year over threeIARs 46 to 56offices 1 to 4
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $586MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 13.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consultingreportedItem 5.G
- Wrap fee program
- $37BreportedItem 5.I
- Custody
- $46B, 6,077 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$33B87%
- Charitable organizations$1.6B4.1%
- Pension and profit-sharing plans$1.5B4.0%
- Pooled investment vehicles$919M2.4%
- Individuals$630M1.7%
- Investment companies$173M0.5%
- Individual clients
- 2,252reported
- HNW clients
- 3,828reported
- Pension plan clients
- 95reported
- Charitable clients
- 108reported
- Accounts
- 6,294reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $46B for 6,077 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.03 institutional_share=0.08 related_bd=true related_bank=false bd_reps=94.0derived
Advisors registered through the firm
65 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Benjamin A Groveman | New York, Ny | Feb 16, 2023 | 11 y | 0 |
| Christopher Anthony DendeCertified Financial Planner | New York, Ny | Feb 16, 2023 | 14 y | 4 |
| Benjamin Thomas Clammer | New York, Ny | Feb 16, 2023 | 15 y | 0 |
| Caroline L KelleyCertified Financial Planner | New York, Ny | Feb 16, 2023 | 10 y | 2 |
| Winnie Lau | New York, Ny | Feb 16, 2023 | 11 y | 1 |
| Prajwal PrabhuCertified Financial Planner | New York, Ny | Feb 16, 2023 | 11 y | 1 |
| Carol Ileani Depena | New York, Ny | Feb 16, 2023 | 11 y | 0 |
| Arthur Joel Stainman | New York, Ny | Feb 16, 2023 | 41 y | 0 |
| Emma Keidy McgrawCertified Financial Planner | New York, Ny | Feb 16, 2023 | 10 y | 2 |
| Robert William Gottesman | New York, Ny | Feb 16, 2023 | 33 y | 0 |
| Peggy Elaine Lebert | The Woodlands, Tx | Feb 16, 2023 | 32 y | 0 |
| Bernard Charles Groveman | New York, Ny | Feb 16, 2023 | 33 y | 0 |
| Jack Harry Varon | New York, Ny | Feb 16, 2023 | 40 y | 0 |
| Jay Lawrence Vodofsky | New York, Ny | Feb 16, 2023 | 31 y | 0 |
| Leonard Charles Berman | New York, Ny | Feb 16, 2023 | 30 y | 0 |
| Jill Ann ReiterChartered Financial Analyst | New York, Ny | Feb 16, 2023 | 23 y | 0 |
| Robert John Aylward | New York, Ny | Feb 16, 2023 | 25 y | 1 |
| Timothy Carrol Muccia | New York, Ny | Feb 16, 2023 | 34 y | 0 |
| Deborah Anne Waldman | New York, Ny | Feb 16, 2023 | 33 y | 1 |
| Samuel Flug Colin | New York, Ny | Feb 16, 2023 | 31 y | 0 |
| David Carrol Muccia | New York, Ny | Feb 16, 2023 | 19 y | 0 |
| Paul Edward Patrick | New York, Ny | Feb 16, 2023 | 29 y | 0 |
| Zachary A Wydra | New York, Ny | Feb 16, 2023 | 10 y | 0 |
| Joseph Anthony Sammarco | New York, Ny | Feb 16, 2023 | 28 y | 0 |
| Adam Harris Schwartz | New York, Ny | Feb 16, 2023 | 24 y | 0 |
| Daniel John Helmick | New York, Ny | Feb 16, 2023 | 29 y | 0 |
| Michael Jacob Kelter | New York, Ny | Feb 16, 2023 | 18 y | 0 |
| Matt A Greenberg | New York, Ny | Feb 16, 2023 | 13 y | 1 |
| Himayani Puri | New York, Ny | Feb 16, 2023 | 9 y | 0 |
| George M. Garfunkel | New York, Ny | Feb 16, 2023 | 23 y | 0 |
| Simon Edmund Porter | New York, Ny | Feb 16, 2023 | 24 y | 0 |
| Michael Gasner | New York, Ny | Feb 16, 2023 | 22 y | 0 |
| Sharon Miriam AppelmanCertified Financial Planner | New York, Ny | Feb 16, 2023 | 22 y | 2 |
| Nicole D Sliwa | New York, Ny | Feb 16, 2023 | 21 y | 2 |
| Robert Joseph HaleyChartered Financial Analyst | New York, Ny | Feb 16, 2023 | 20 y | 0 |
| Victoria K AmyotCertified Financial Planner | New York, Ny | Feb 16, 2023 | 15 y | 2 |
| Jacqueline M Thibault | New York, Ny | Feb 16, 2023 | 13 y | 1 |
| Andrew Michael Freedberg | New York, Ny | Feb 16, 2023 | 26 y | 0 |
| Nadia Abdulghani | New York, Ny | Feb 16, 2023 | 14 y | 0 |
| Justin A RodriguezChartered Financial Analyst | New York, Ny | Oct 10, 2023 | 12 y | 0 |
Advisor movement
0 left, 10 joined in 12 months
net +10 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Steven Trustey to New Edge WealthFeb 27, 2024 · Affiliated broker-dealer or bank to another
Joined, latest
- Elle Addison Mcaraw from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Cooper James Smith from Carnegie Investment CounselAug 5, 2026 · RIA to affiliated broker-dealer or bank
- Nehal Suren from People'S United Advisors, Inc.Jul 21, 2026 · RIA to affiliated broker-dealer or bank
- Laura Kim Drynan from Bourgeon Capital Management LLCMay 26, 2026 · RIA to affiliated broker-dealer or bank
- Jacqueline Phan from J.P. Morgan Securities LLCMay 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- Timothy A Egan from Morgan StanleyMar 24, 2026 · Wirehouse to affiliated broker-dealer or bank
- Damon Ustin from Citigroup Global Markets Inc.Mar 16, 2026 · Affiliated broker-dealer or bank to another
- Edward George Beddow from Beddow Capital Management IncMar 10, 2026 · RIA to affiliated broker-dealer or bank
- Jason Scott Hill from UBS Financial Services Inc.Jan 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- Charles Adam Yale from Lawson Kroeker Investment Management IncJan 8, 2026 · RIA to affiliated broker-dealer or bank
- Stephanie Lynn Roman from MML Investors Services, LLCSep 4, 2025 · Affiliated broker-dealer or bank to another
- Melissa Marie Raimundo from Beacon TrustAug 14, 2025 · RIA to affiliated broker-dealer or bank
- Adele Susan Weisman from Roanoke Asset Management CorpAug 12, 2025 · RIA to affiliated broker-dealer or bank
- Lilly Ann Johnsen from Morgan StanleyMay 30, 2025 · Wirehouse to affiliated broker-dealer or bank
- Olivier N Sarfati from GentrustMay 5, 2025 · RIA to affiliated broker-dealer or bank
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Fm First China Fund LLC | Other Private Fund | $475M | 141 | Mar 27, 2012 |
| Fmz Ventures Fund LP | Private Equity Fund | $99.2M | 155 | Mar 31, 2021 |
| Fm First China Portfolio LP | Other Private Fund | $85.6M | 36 | Mar 20, 2014 |
| Fm Broadway LP | $60.8M | 42 | Aug 13, 2026 | |
| Fm Civan Investment LP | Private Equity Fund | $56.9M | 85 | Mar 31, 2021 |
| Fmc Research Fund LPno longer reported | Other Private Fund | $46.8M | 24 | Mar 31, 2021 |
| Second First Denovo LP | Other Private Fund | $38.5M | 23 | Mar 27, 2012 |
| Greenleaf Partners Fund LP | Other Private Fund | $21.9M | 36 | Mar 26, 2020 |
| Fmc Venture Access Fund | Private Equity Fund | $19.4M | 32 | Mar 29, 2024 |
| Fm Civan Investment II LP | Private Equity Fund | $8.5M | 18 | Mar 31, 2021 |
| Fm Laurel Associates LPno longer reported | Other Private Fund | $21,825 | 21 | Mar 27, 2012 |
| First Biomed Portfolio LPno longer reported | Other Private Fund | $0 | 21 | Mar 27, 2012 |
| First Health Limitedno longer reported | Other Private Fund | $0 | 8 | Mar 27, 2012 |
| First Health Associates LPno longer reported | Other Private Fund | $0 | 31 | Mar 27, 2012 |
| First Health LPno longer reported | Other Private Fund | $0 | 63 | Mar 27, 2012 |
| First Biomed LPno longer reported | Other Private Fund | $0 | 58 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Andrew Aspen · Chief Legal Officercontrolsince 01/2023 · owns less than 5%
- Spinola Alvaro Pinto · Finop/Prinicipal Operations Officercontrolsince 01/2023 · owns less than 5%
- A Zachary Wydra · Chief Executive Officercontrolsince 01/2023 · owns 5% to 10%
- William Robert Gottesman · Limited Partnercontrolsince 01/2023 · owns 25% to 50% of Fmc Group Holdings LP
- Paul Jeremy Covino · Chief Compliance Officersince 07/2023 · owns less than 5%
- Anthony Joseph Sammarco · Head Of Operations; Head Of Business Supervisionsince 01/2023 · owns less than 5%
- Michael Arthur Tambaro · Co-Director Of Operationssince 01/2023 · owns less than 5%
Entity owners
- Fmc Group Holdings LP · Limited Partnershipdirect · owns 75% or more
- First Manhattan Management LLC · General Partnerindirect · owns F of Fmc Group Holdings LP
Related persons
Schedule D 7.A
- First Manhattan Co., Incorporatedpooled vehicle sponsory
- First Manhattan Cobroker-dealernRAUM $30B
- Fm Real Estate Management Corporationpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 65 | 15 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT5 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Aug 13, 2026RAUM per account of $6,051,176 against a peer median of $499,046 (50 comparable advisers, 100.0th percentile, 3.7 robust deviations)peers: affiliated wealth managers, $20B and over (50) · 100% percentile
- business activity changedChange between filings · filing Aug 13, 2026pension consulting (Item 5.G.6): no on the filing of 2026-04-01, yes on the filing of 2026-08-13peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Aug 13, 2026GOTTESMAN, ROBERT, WILLIAM (LIMITED PARTNER) left Schedule A between the filings of 2023-08-04 and 2026-08-13peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Advisory activities · 5 to 6Apr 1, 2026 to Aug 13, 2026
- Accounts · 5,722 to 6,294Apr 29, 2025 to Mar 31, 2026
- Advisory employees · 47 to 51Apr 29, 2025 to Mar 31, 2026
- BD registered reps · 92 to 94Apr 29, 2025 to Mar 31, 2026
- Charity clients · 110 to 108Apr 29, 2025 to Mar 31, 2026
- HNW clients · 3,431 to 3,828Apr 29, 2025 to Mar 31, 2026
- Individual clients · 2,059 to 2,252Apr 29, 2025 to Mar 31, 2026
- Pension plan clients · 111 to 95Apr 29, 2025 to Mar 31, 2026
- Assets in custody · $31B to $46BApr 29, 2025 to Mar 31, 2026
- Employees · 132 to 147Apr 29, 2025 to Mar 31, 2026
- State-registered IARs · 46 to 56Apr 29, 2025 to Mar 31, 2026
- Other offices · 1 to 4Apr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $33B to $36BApr 29, 2025 to Mar 31, 2026
- HNW RAUM · $30B to $33BApr 29, 2025 to Mar 31, 2026
- Individual RAUM · $600M to $630MApr 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2B to $2.4BApr 29, 2025 to Mar 31, 2026
- Pension RAUM · $1.5B to $1.5BApr 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $882M to $919MApr 29, 2025 to Mar 31, 2026
- RAUM · $34B to $38BApr 29, 2025 to Mar 31, 2026
- Accounts · 5,661 to 5,722Mar 5, 2025 to Apr 29, 2025
- BD registered reps · 96 to 92Mar 5, 2025 to Apr 29, 2025
- Charity clients · 111 to 110Mar 5, 2025 to Apr 29, 2025
- HNW clients · 3,276 to 3,431Mar 5, 2025 to Apr 29, 2025
- Individual clients · 2,130 to 2,059Mar 5, 2025 to Apr 29, 2025
- Pension plan clients · 130 to 111Mar 5, 2025 to Apr 29, 2025
- Pooled vehicle clients · 13 to 9Mar 5, 2025 to Apr 29, 2025
- Assets in custody · $30B to $31BMar 5, 2025 to Apr 29, 2025
- Employees · 133 to 132Mar 5, 2025 to Apr 29, 2025
- Financial planning clients · 101-250 to 251-500Mar 5, 2025 to Apr 29, 2025
- State-registered IARs · 43 to 46Mar 5, 2025 to Apr 29, 2025
- Private funds · 8 to 9Mar 5, 2025 to Apr 29, 2025
- Discretionary RAUM · $31B to $33BMar 5, 2025 to Apr 29, 2025
- HNW RAUM · $28B to $30BMar 5, 2025 to Apr 29, 2025
- Individual RAUM · $632M to $600MMar 5, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $1.2B to $1.2BMar 5, 2025 to Apr 29, 2025
- Pension RAUM · $1.5B to $1.5BMar 5, 2025 to Apr 29, 2025
- Pooled vehicle RAUM · $684M to $882MMar 5, 2025 to Apr 29, 2025
- RAUM · $32B to $34BMar 5, 2025 to Apr 29, 2025
- Private funds · 13 to 8Nov 22, 2024 to Jan 31, 2025
- Accounts · 5,528 to 5,661Sep 7, 2023 to Mar 29, 2024
Signals
3 dated events
- First Manhattan Co. Llc reported 56 state-registered advisory representatives, up from 46 (2025-04-29 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- First Manhattan Co. Llc reported RAUM $31.8B, up 35% from $23.6B (2023-09-07 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Steven Trustey left First Manhattan Co. Llc for New Edge Wealth (registered 2024-02-15)Feb 27, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- First Manhattan Co. LLC · Independent Sponsorsshared crd · capital_provider
- First Manhattan Co. LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/firstmanhattancoreportedpublic record, Form ADV, Sep 17, 2026
- Website
- firstmanhattan.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-756-3300reportedpublic record, Form ADV, Aug 13, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $586Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026