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
Podell Financial Group LLC
Latest filing Mar 24, 2026
First filing on the tape Apr 3, 2023 · 10 filings
SEC status approved since May 4, 2023
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$190M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$228M as of Mar 24, 2026
Jan 24, 2024$141M then
HNW client RAUM$112M as of Mar 24, 2026
Jan 24, 2024$64.5M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Jan 24, 20244 then
Employees (5.A)6 as of Mar 24, 2026
Jan 24, 20245 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $56.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $385,763derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $10.6M, 36 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
- 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)
- 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$112M49%
- Individuals$78.5M34%
- Pension and profit-sharing plans$35.8M16%
- Corporations and businesses$1.6M0.7%
- Individual clients
- 184reported
- HNW clients
- 32reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 590reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.6M for 36 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Joseph Kelly | Fairfield, Nj | May 24, 2023 | 16 y | 1 |
| David Yates | Fairfield, Nj | May 24, 2023 | 26 y | 4 |
| David Podell | Fairfield, Nj | Feb 6, 2025 | 23 y | 1 |
| Jennifer Vaughn Kerr | Fairfield, Nj | Aug 4, 2025 | 21 y | 1 |
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
- Jennifer Vaughn Kerr from Slavic Mutual Funds Management Corp.Aug 4, 2025 · Other
- David Podell from Eagle Strategies LLCFeb 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Joseph Kelly from Eagle Strategies LLCMay 24, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- David Yates from Eagle Strategies LLCMay 24, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Eagle Strategies LLCJun 14, 2023 · Fairfield, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Leslie Mastrogiovanni · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- David Podell · Managing Principalcontrolsince 08/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Fairfield, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 490 to 590Jan 28, 2025 to Feb 18, 2026
- Advisory employees · 3 to 4Jan 28, 2025 to Feb 18, 2026
- Corporate clients · 3.0 to unsetJan 28, 2025 to Feb 18, 2026
- HNW clients · 34 to 32Jan 28, 2025 to Feb 18, 2026
- Individual clients · 174 to 184Jan 28, 2025 to Feb 18, 2026
- Assets in custody · $24.3M to $10.6MJan 28, 2025 to Feb 18, 2026
- Employees · 5 to 6Jan 28, 2025 to Feb 18, 2026
- State-registered IARs · 3 to 4Jan 28, 2025 to Feb 18, 2026
- Discretionary RAUM · $172M to $228MJan 28, 2025 to Feb 18, 2026
- HNW RAUM · $85.5M to $112MJan 28, 2025 to Feb 18, 2026
- Individual RAUM · $55.5M to $78.5MJan 28, 2025 to Feb 18, 2026
- Pension RAUM · $30.0M to $35.8MJan 28, 2025 to Feb 18, 2026
- RAUM · $172M to $228MJan 28, 2025 to Feb 18, 2026
- Accounts · 473 to 490Jun 18, 2024 to Jan 28, 2025
- Advisory employees · 4 to 3Jun 18, 2024 to Jan 28, 2025
- Corporate clients · unset to 3.0Jun 18, 2024 to Jan 28, 2025
- HNW clients · 33 to 34Jun 18, 2024 to Jan 28, 2025
- Individual clients · 168 to 174Jun 18, 2024 to Jan 28, 2025
- Pension plan clients · 12 to 20Jun 18, 2024 to Jan 28, 2025
- Assets in custody · $31.9M to $24.3MJun 18, 2024 to Jan 28, 2025
- Financial planning clients · 0 to 0Jun 18, 2024 to Jan 28, 2025
- State-registered IARs · 4 to 3Jun 18, 2024 to Jan 28, 2025
- Discretionary RAUM · $141M to $172MJun 18, 2024 to Jan 28, 2025
- HNW RAUM · $64.5M to $85.5MJun 18, 2024 to Jan 28, 2025
- Individual RAUM · $51.3M to $55.5MJun 18, 2024 to Jan 28, 2025
- Pension RAUM · $24.4M to $30.0MJun 18, 2024 to Jan 28, 2025
- RAUM · $141M to $172MJun 18, 2024 to Jan 28, 2025
- Accounts · 441 to 473Aug 24, 2023 to Jan 24, 2024
- Advisory employees · 5 to 4Aug 24, 2023 to Jan 24, 2024
- HNW clients · 30 to 33Aug 24, 2023 to Jan 24, 2024
- Individual clients · 157 to 168Aug 24, 2023 to Jan 24, 2024
- Assets in custody · $8.8M to $31.9MAug 24, 2023 to Jan 24, 2024
- Employees · 7 to 5Aug 24, 2023 to Jan 24, 2024
- State-registered IARs · 5 to 4Aug 24, 2023 to Jan 24, 2024
- Discretionary RAUM · $126M to $141MAug 24, 2023 to Jan 24, 2024
- HNW RAUM · $60.2M to $64.5MAug 24, 2023 to Jan 24, 2024
- Individual RAUM · $46.6M to $51.3MAug 24, 2023 to Jan 24, 2024
- Pension RAUM · $18.9M to $24.4MAug 24, 2023 to Jan 24, 2024
- RAUM · $126M to $141MAug 24, 2023 to Jan 24, 2024
- Accounts · 0 to 441Jun 2, 2023 to Aug 24, 2023
Signals
2 dated events
- 3 advisors left Eagle Strategies LLC (Fairfield, NJ) for Podell Financial Group LLC on the same dayJun 14, 2023 · Team lift-out · derived
- Podell Financial Group Llc filed its initial SEC registration (Form ADV)Apr 3, 2023 · 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@podellfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- PODELLFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-227-8001reportedpublic record, Form ADV, Mar 24, 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
- $56.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026