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
Shufro, Rose & Co., LLC
Latest filing Apr 21, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Apr 7, 1955
RAUM
$2.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$2.3B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
27
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.5B as of Apr 21, 2026
Mar 29, 2012$1.4B then
HNW client RAUM$2.1B as of Apr 21, 2026
Mar 31, 2018$1.4B then
State-registered IARs (5.B.3)9 as of Apr 21, 2026
Mar 29, 20120 then
Employees (5.A)27 as of Apr 21, 2026
Mar 28, 201318 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Apr 21, 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
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $818,761derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $807M, 595 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B83%
- Individuals$254M10%
- Corporations and businesses$107M4.3%
- Pension and profit-sharing plans$36.3M1.5%
- Charitable organizations$13.8M0.6%
- Individual clients
- 660reported
- HNW clients
- 547reported
- Pension plan clients
- 57reported
- Charitable clients
- 18reported
- Accounts
- 3,009reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $807M for 595 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen David LeitChartered Financial Analyst | New York, Ny | Sep 5, 2002 | 41 y | 0 |
| Harvey Wacht | New York, Ny | Sep 12, 2002 | 38 y | 0 |
| Steven Jeffrey Glass | New York, Ny | Sep 17, 2002 | 38 y | 0 |
| John Marinus Contant | New York, Ny | Sep 7, 2007 | 26 y | 0 |
| Barbara Puklin SilvermanChartered Financial Analyst | New York, Ny | Oct 29, 2009 | 30 y | 0 |
| Gregory David Shufro | New York, Ny | Jan 15, 2015 | 22 y | 0 |
| Gerson Robert OssersCertified Financial Planner | New York, Ny | Apr 9, 2020 | 12 y | 4 |
| Anthony Trevor Santoloci | New York, Ny | Mar 29, 2021 | 14 y | 3 |
| Yoolim Kaminsky | New York, Ny | Sep 27, 2022 | 26 y | 0 |
| Aimee AdlerCertified Financial Planner | New York, Ny | Feb 6, 2024 | 12 y | 3 |
| Garrett Lawton Cole | New York, Ny | Dec 2, 2024 | 15 y | 1 |
| Lance Christopher Armenta | New York, Ny | Dec 8, 2024 | 11 y | 3 |
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 headcount2 left over 36 months
Left, latest
- Michael Thomas Hymes to Beatrice Advisors LPJan 16, 2024 · RIA to RIA
- Marisa Luciano to Citigroup Global Markets Inc.Nov 13, 2023 · RIA to affiliated broker-dealer or bank
- Sharon Elzena Griffith to Wells Fargo AdvisorsJan 23, 2017 · Other
Joined, latest
- Lance Christopher Armenta from UBS Financial Services Inc.Dec 8, 2024 · Wirehouse to independent RIA
- Garrett Lawton Cole from Ameriprise Financial Services, LLCDec 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- Aimee Adler from Cerity Partners LLCFeb 6, 2024 · RIA to RIA
- Marisa Luciano from Wells Fargo AdvisorsMar 31, 2022 · Wirehouse to independent RIA
- Anthony Trevor Santoloci from Gilder Gagnon Howe & Co. LLCMar 29, 2021 · RIA to RIA
- Gerson Robert Ossers from Source Financial Advisors, LLCApr 9, 2020 · RIA to RIA
- Michael Thomas Hymes from Plante Moran Financial AdvisorsMar 25, 2020 · RIA to RIA
- Sharon Elzena Griffith from J.P. Morgan Securities LLCAug 14, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marinus John Contant · Principal And Senior Financial Advisorcontrolsince 01/2004 · owns 10% to 25%
- Jeffrey Steven Glass · Principal And Senior Financial Advisorcontrolsince 01/1997 · owns 10% to 25%
- Tonia Kaminsky · Principal And Senior Financial Advisorcontrolsince 04/2009 · owns 10% to 25%
- David Stephen Leit · Principal And Senior Financial Advisorcontrolsince 01/1989 · owns 25% to 50%
- David Gregory Shufro · Principal And Senior Financial Advisorcontrolsince 04/2008 · owns 10% to 25%
- Harvey Wacht · Principal And Senior Financial Advisorcontrolsince 01/2003 · owns 5% to 10%
- Nichole Tara Horne · Chief Compliance Officersince 01/2024 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 12 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 21, 2026accounts (Item 5.F.2.f) moved from 1,338.0 to 3,009.0 (+125.0%) between the annual amendments of 2025-04-04 and 2026-04-21; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,338 to 3,009Apr 4, 2025 to Mar 27, 2026
- Charity clients · 23 to 18Apr 4, 2025 to Mar 27, 2026
- HNW clients · 472 to 547Apr 4, 2025 to Mar 27, 2026
- Individual clients · 743 to 660Apr 4, 2025 to Mar 27, 2026
- Pension plan clients · 51 to 57Apr 4, 2025 to Mar 27, 2026
- Pooled vehicle clients · unset to 0.0Apr 4, 2025 to Mar 27, 2026
- Assets in custody · $2.2B to $807MApr 4, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 2Apr 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.1B to $2.4BApr 4, 2025 to Mar 27, 2026
- HNW RAUM · $1.7B to $2.1BApr 4, 2025 to Mar 27, 2026
- Individual RAUM · $296M to $254MApr 4, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $70.9M to $58.0MApr 4, 2025 to Mar 27, 2026
- Pension RAUM · $32.8M to $36.3MApr 4, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · unset to 0.0Apr 4, 2025 to Mar 27, 2026
- RAUM · $2.2B to $2.5BApr 4, 2025 to Mar 27, 2026
- Related adviser · false to trueApr 4, 2025 to Mar 27, 2026
- Accounts · 1,324 to 1,338Aug 14, 2024 to Apr 4, 2025
- Charity clients · unset to 23.0Aug 14, 2024 to Apr 4, 2025
- Corporate clients · unset to 49.0Aug 14, 2024 to Apr 4, 2025
- HNW clients · 495 to 472Aug 14, 2024 to Apr 4, 2025
- Individual clients · 774 to 743Aug 14, 2024 to Apr 4, 2025
- Pension plan clients · unset to 51.0Aug 14, 2024 to Apr 4, 2025
- Assets in custody · $201M to $2.2BAug 14, 2024 to Apr 4, 2025
- Employees · 26 to 27Aug 14, 2024 to Apr 4, 2025
- Financial planning clients · 51-100 to 101-250Aug 14, 2024 to Apr 4, 2025
- Discretionary RAUM · $1.9B to $2.1BAug 14, 2024 to Apr 4, 2025
- HNW RAUM · $1.7B to $1.7BAug 14, 2024 to Apr 4, 2025
- Individual RAUM · $277M to $296MAug 14, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $60.4M to $70.9MAug 14, 2024 to Apr 4, 2025
- Pension RAUM · unset to 32795684.0Aug 14, 2024 to Apr 4, 2025
- RAUM · $2.0B to $2.2BAug 14, 2024 to Apr 4, 2025
- Accounts · 1,344 to 1,324Jan 4, 2024 to Mar 21, 2024
- BD registered reps · 1 to 0Jan 4, 2024 to Mar 21, 2024
- Charity clients · 0.0 to unsetJan 4, 2024 to Mar 21, 2024
- Corporate clients · 0.0 to unsetJan 4, 2024 to Mar 21, 2024
- HNW clients · 461 to 495Jan 4, 2024 to Mar 21, 2024
- Individual clients · 883 to 774Jan 4, 2024 to Mar 21, 2024
- Pension plan clients · 0.0 to unsetJan 4, 2024 to Mar 21, 2024
- Pooled vehicle clients · 0.0 to unsetJan 4, 2024 to Mar 21, 2024
- Assets in custody · $1.8B to $201MJan 4, 2024 to Mar 21, 2024
Signals
6 dated events
- Kumar Vibhaw Arya (Chief Operating Officer) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2024-03-21, absent 2024-08-14)Aug 14, 2024 · Control person left · inference
- Michael Thomas Hymes left Shufro, Rose & Co., Llc for Beatrice Advisors Lp (registered 2025-01-05)Jan 16, 2024 · Advisor changed firm · fact
- Alan John Wilkens (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2023-11-01, absent 2024-01-04)Jan 4, 2024 · Control person left · inference
- Marisa Luciano left Shufro, Rose & Co., Llc for Citigroup Global Markets Inc. (registered 2023-06-28)Nov 13, 2023 · Advisor changed firm · fact
- George Edward Shufro (Senior Managing Director Emeritus) no longer on Schedule A of Shufro, Rose & Co., Llc (listed 2019-06-21, absent 2020-03-17)Mar 17, 2020 · Control person left · inference
- Alan John Wilkens (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of Shufro, Rose & Co., LlcMar 28, 2019 · Control person joined · 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
- contact@shufrorose.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-754-5100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/shufro-rose-&-co.-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SHUFROROSE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-754-5100reportedpublic record, Form ADV, Apr 21, 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
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026