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

Drucker Wealth

Independent wealth managerCRD 328909SEC 801-129473websiteIAPD
Legal name Drucker Wealth 3.0, LLC
Latest filing Sep 3, 2026
First filing on the tape Jan 7, 2024 · 22 filings
SEC status approved since Feb 6, 2024
RAUM
$891M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$861M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$178M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$891M as of Aug 18, 2026
Feb 6, 2025$663M then
HNW client RAUM$734M as of Aug 18, 2026
Feb 6, 2025$505M then
State-registered IARs (5.B.3)6 as of Aug 18, 2026
Feb 6, 20255 then
Employees (5.A)12 as of Aug 18, 2026
Feb 6, 202512 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Sep 3, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$178MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
123derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$330,302derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$891MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$734M82%
  • Individuals$128M14%
  • Corporations and businesses$29.7M3.3%
Individual clients
282reported
HNW clients
331reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,698reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Gideon DruckerCertified Financial PlannerNew York, Ny Feb 9, 202412 y1
Kathleen Marie RitchieCertified Financial PlannerNew York, Ny Feb 9, 202418 y1
Lance DruckerChartered Financial ConsultantMahwah, NjFeb 13, 202441 y1
Dru Catherine BurnsCertified Financial PlannerMahwah, Nj May 20, 202410 y1
Jordan Anthony HainesCertified Financial PlannerKuna, IdJan 5, 202611 y3
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount2 left over 36 months
Left, latest
Joined, 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
    • S Neisy Arnez · Chief Compliance Officercontrol
      since 02/2024 · owns less than 5%
    • Gideon Drucker · President & Managing Membercontrol
      since 02/2024 · owns 50% to 75%
    • Lance Drucker · Chairman & Managing Membercontrol
      since 02/2024 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mahwah, Nj401
    New York, Ny200
    Buchanan, Mi000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 101-250 to 101-250
      Aug 18, 2026 to Sep 3, 2026
    • HQ city · to unset
      Aug 18, 2026 to Sep 3, 2026
    • HQ state · to unset
      Aug 18, 2026 to Sep 3, 2026
    • Succession · false to unset
      Aug 18, 2026 to Sep 3, 2026
    • Accounts · 2,840 to 2,698
      May 7, 2026 to Aug 18, 2026
    • HNW clients · 333 to 331
      May 7, 2026 to Aug 18, 2026
    • Individual clients · 388 to 282
      May 7, 2026 to Aug 18, 2026
    • Discretionary RAUM · $771M to $891M
      May 7, 2026 to Aug 18, 2026
    • HNW RAUM · $626M to $734M
      May 7, 2026 to Aug 18, 2026
    • Individual RAUM · $141M to $128M
      May 7, 2026 to Aug 18, 2026
    • RAUM · $771M to $891M
      May 7, 2026 to Aug 18, 2026
    • Accounts · 2,985 to 2,840
      Jan 2, 2026 to Mar 31, 2026
    • HNW clients · 285 to 333
      Jan 2, 2026 to Mar 31, 2026
    • Individual clients · 551 to 388
      Jan 2, 2026 to Mar 31, 2026
    • Employees · 13 to 12
      Jan 2, 2026 to Mar 31, 2026
    • Discretionary RAUM · $666M to $771M
      Jan 2, 2026 to Mar 31, 2026
    • HNW RAUM · $507M to $626M
      Jan 2, 2026 to Mar 31, 2026
    • Individual RAUM · $156M to $141M
      Jan 2, 2026 to Mar 31, 2026
    • RAUM · $666M to $771M
      Jan 2, 2026 to Mar 31, 2026
    • Advisory employees · 5 to 6
      May 1, 2025 to Nov 12, 2025
    • Employees · 12 to 13
      May 1, 2025 to Nov 12, 2025
    • State-registered IARs · 5 to 6
      May 1, 2025 to Nov 12, 2025
    • Related insurance company · false to true
      May 1, 2025 to Nov 12, 2025
    • Accounts · 2,863 to 2,985
      Feb 6, 2025 to May 1, 2025
    • HNW clients · 286 to 285
      Feb 6, 2025 to May 1, 2025
    • Individual clients · 535 to 551
      Feb 6, 2025 to May 1, 2025
    • Pension plan clients · 1 to 0
      Feb 6, 2025 to May 1, 2025
    • Financial planning clients · 101-250 to 101-250
      Feb 6, 2025 to May 1, 2025
    • Discretionary RAUM · $663M to $666M
      Feb 6, 2025 to May 1, 2025
    • HNW RAUM · $505M to $507M
      Feb 6, 2025 to May 1, 2025
    • Individual RAUM · $153M to $156M
      Feb 6, 2025 to May 1, 2025
    • Pension RAUM · 1075292.0 to unset
      Feb 6, 2025 to May 1, 2025
    • RAUM · $663M to $666M
      Feb 6, 2025 to May 1, 2025
    • HQ city · unset to
      Dec 26, 2024 to Feb 6, 2025
    • HQ state · unset to
      Dec 26, 2024 to Feb 6, 2025
    • Accounts · 2,708 to 2,863
      Jul 23, 2024 to Dec 26, 2024
    • Corporate clients · 0 to 1
      Jul 23, 2024 to Dec 26, 2024
    • HNW clients · 253 to 286
      Jul 23, 2024 to Dec 26, 2024
    • Individual clients · 549 to 535
      Jul 23, 2024 to Dec 26, 2024
    • Discretionary RAUM · $580M to $663M
      Jul 23, 2024 to Dec 26, 2024
    Signals
    4 dated events
    • Autumn Jean Lax left Drucker Wealth for 360 Wealth Creation (registered 2026-02-24)
      Feb 2, 2026 · Advisor changed firm · fact
    • Sarah Ann Ward left Drucker Wealth for Curi Capital, Llc (registered 2025-12-03)
      Aug 25, 2025 · Advisor changed firm · fact
    • 3 advisors left Hornor, Townsend & Kent, LLC (New York, NY) for Drucker Wealth on the same day
      Feb 12, 2024 · Team lift-out · derived
    • Drucker Wealth, Llc filed its initial SEC registration (Form ADV)
      Jan 7, 2024 · 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
    Firm profile
    linkedin.com/company/drucker-wealthreportedpublic record, Form ADV, Sep 17, 2026
    Website
    druckerwealth.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (212) 681-0460reportedpublic record, Form ADV, Sep 3, 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
    $178Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026