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
August Wealth Advisors LLC
Latest filing Jul 6, 2026
First filing on the tape Oct 24, 2025 · 6 filings
SEC status approved since Nov 24, 2025
RAUM
$437M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$437M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$87.3M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$437M as of Jul 6, 2026
Oct 24, 2025$0 then
HNW client RAUM$403M as of Jul 6, 2026
Mar 27, 2026$403M then
State-registered IARs (5.B.3)4 as of Jul 6, 2026
Oct 24, 20254 then
Employees (5.A)8 as of Jul 6, 2026
Oct 24, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 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
- $87.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $681,134derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$403M92%
- Individuals$33.1M7.6%
- Individual clients
- 127reported
- HNW clients
- 192reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 641reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Tyler Grave | Westport, Ct | Feb 19, 2026 | 22 y | 6 |
| Conor Patrick Keenan | Westport, Ct | Feb 19, 2026 | 11 y | 1 |
| Howard Charles Greenberg | Westport, Ct | Feb 19, 2026 | 19 y | 1 |
| Joseph John Cardello | Westport, Ct | Feb 19, 2026 | 13 y | 2 |
| Robbie James Newman | Westport, Ct | Aug 12, 2026 | 19 y | 0 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- Howard Charles Greenberg from Stratos Wealth Advisors LLCFeb 19, 2026 · RIA to a newly registered adviser
- Peter Tyler Grave from Stratos Wealth Advisors LLCFeb 19, 2026 · RIA to a newly registered adviser
- Joseph John Cardello from Stratos Wealth Advisors LLCFeb 19, 2026 · RIA to a newly registered adviser
- Conor Patrick Keenan from Stratos Wealth Advisors LLCFeb 19, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Stratos Wealth Advisors LLCFeb 25, 2026 · Westport, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Joseph Cardello · Principalcontrolsince 10/2025 · owns 75% or more
- Berrio Erika Morro · Chief Compliance Officercontrolsince 10/2025 · 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 |
|---|---|---|---|---|---|
| Westport, Ct · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 641Feb 26, 2026 to Mar 27, 2026
- HNW clients · unset to 192.0Feb 26, 2026 to Mar 27, 2026
- Individual clients · unset to 127.0Feb 26, 2026 to Mar 27, 2026
- Discretionary RAUM · $0 to $437MFeb 26, 2026 to Mar 27, 2026
- HNW RAUM · unset to 403459293.0Feb 26, 2026 to Mar 27, 2026
- Individual RAUM · unset to 33147775.0Feb 26, 2026 to Mar 27, 2026
- RAUM · $0 to $437MFeb 26, 2026 to Mar 27, 2026
Signals
1 dated events
- 3 advisors left Stratos Wealth Advisors LLC (Westport, CT) for August Wealth Advisors LLC within 8 daysFeb 25, 2026 · Team lift-out · derived
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 phone
- 800-985-9477reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/august-wealth-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- augustwealthadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (800) 985-9477reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- augustwealthadvisors.com/contact-9reportedpublished 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
- $87.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026