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
Collaborative Capital Advisors LLC
Latest filing Jul 13, 2026
First filing on the tape Aug 28, 2025 · 7 filings
SEC status approved since Aug 21, 2025
RAUM
$388M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
99%
$383M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$388M as of Jul 13, 2026
Aug 28, 2025$0 then
HNW client RAUM$382M as of Jul 13, 2026
Dec 11, 2025$376M then
State-registered IARs (5.B.3)2 as of Jul 13, 2026
Aug 28, 20252 then
Employees (5.A)5 as of Jul 13, 2026
Aug 28, 20252 then
Private funds1 as of Jul 13, 2026
Dec 11, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 13, 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
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.5MderivedHNW RAUM over HNW clients
- Average account
- $9.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M98%
- Pooled investment vehicles$5.0M1.3%
- Individuals$916,9720.2%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 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 |
|---|---|---|---|---|
| Jonathan Michael BergmanCertified Financial Planner | New York, Ny | Aug 25, 2025 | 14 y | 0 |
| Andrew Michael NiemoellerCertified Financial Planner | New York, Ny | Sep 15, 2025 | 25 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
- Andrew Michael Niemoeller from Savant Wealth ManagementSep 15, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Jonathan Bergman · Co-Ceocontrolsince 09/2025 · owns less than 5%
- Ivan Jamie Grossman · Chief Operating Officercontrolsince 03/2026 · owns less than 5%
- Joseph Michael Moriarty · Chief Investment Officercontrolsince 01/2026 · owns less than 5%
- Paul Nathan Romano · Co-Ceocontrolsince 06/2025 · owns less than 5%
- Gordon Thomas Kennedy · Chief Compliance Officersince 02/2026 · owns less than 5%
Entity owners
- Collaborative Capital Holdings LLC · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $0 to $102MJan 6, 2026 to Feb 27, 2026
- Discretionary RAUM · $282M to $237MJan 6, 2026 to Feb 27, 2026
- HNW RAUM · $376M to $382MJan 6, 2026 to Feb 27, 2026
- Individual RAUM · $909,505 to $916,972Jan 6, 2026 to Feb 27, 2026
- Non-discretionary RAUM · $99.8M to $151MJan 6, 2026 to Feb 27, 2026
- RAUM · $382M to $388MJan 6, 2026 to Feb 27, 2026
- Private funds · unset to 1Sep 5, 2025 to Dec 11, 2025
- Discretionary RAUM · $0 to $282MSep 5, 2025 to Dec 11, 2025
- HNW RAUM · unset to 375996215.0Sep 5, 2025 to Dec 11, 2025
- Individual RAUM · unset to 909505.0Sep 5, 2025 to Dec 11, 2025
- Non-discretionary RAUM · $0 to $99.8MSep 5, 2025 to Dec 11, 2025
- Pooled vehicle RAUM · unset to 5000000.0Sep 5, 2025 to Dec 11, 2025
- RAUM · $0 to $382MSep 5, 2025 to Dec 11, 2025
- Accounts · 0 to 40Sep 5, 2025 to Dec 11, 2025
- HNW clients · unset to 17.0Sep 5, 2025 to Dec 11, 2025
- Pooled vehicle clients · unset to 1.0Sep 5, 2025 to Dec 11, 2025
- Custody of client assets · true to falseSep 5, 2025 to Dec 11, 2025
- Employees · 2 to 5Sep 5, 2025 to Dec 11, 2025
- Insurance-licensed employees · 0 to 2Sep 5, 2025 to Dec 11, 2025
- Financial planning clients · 0 to 0Aug 28, 2025 to Sep 5, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Collaborative Capital Advisors LLC · Independent Sponsorsshared crd · capital_provider
- Collaborative Capital Advisors LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 646-933-5715reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- collaborativecapitaladvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 646-933-5730reportedpublic record, Form ADV, Jul 13, 2026
- Contact form
- collaborativecapitaladvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- collaborativecapitaladvisors.com/leadershipreportedpublished by the firm, firm site, Sep 16, 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
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026