SourcingSourcing

VANBARTON GROUP LLC

C43
CRD 119128·SEC 801-60947·NEW YORK, NY
AUM
$2.28B
$1B+
Est. Revenue
$22.8M
@ 1% on AUM
Est. EBITDA
$6.8M
@ 30% margin
Est. Deal Value
$54.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
VANBARTON GROUP LLC
CRD
119128
SEC file #
801-60947
EIN
851077503
DBA names
Emmes Asset Management Co. LlcVanbarton Group Llc

Economics

AUM
$2.28B
AUM band
$1B+
AUM trajectory
'20'26
$2.56B → $2.28B▼ -11%
Client mix
Pooled Investment Vehicles8
Corporations1

Operations

Employees (total)
28
Advisory staff (per ADV)
20
Advisory staff (5-yr trend)
'20'26
19 advisors → 20 advisors▲ +5%
Primary office
NEW YORK NY
Branches
Count1

Custodian & Brokerage

Primary custodian
JPMorganlow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based feesOther Compensation

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com/company/10053943(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VANBARTON LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
VANBARTON LLC
COLES, RICHARD, A.C.
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
82
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001843302
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2021-02-09
Edgar Last Filing Date
2021-02-09
Edgar Form D Count
1
Edgar Form D Offerings
2021-02-092021-02-09 · 0001843302-21-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Jpmorgan6
E*trade4
U.s. Bank2
Wells Fargo2
Edgar Addresses
Mailing
C/O VANBARTON GROUP LLC292 MADISON AVENUE, 7TH FLOORNEW YORK, NY 10017
Business
C/O VANBARTON GROUP LLC292 MADISON AVENUE, 7TH FLOORNEW YORK, NY 10017
Edgar EIN
851077503
Edgar Recent Filings
D2021-02-09 · 0001843302-21-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (4)

4
COLES, RICHARD, A.C.
Executive Officer · 2.5%
5018328
MURPHY, BERNADETTE
Executive Officer · 2.5%
6557947
TISCHLER, GARY, MARTIN
Executive Officer · 2.5%
4502316
BUFFA, DAMIANO, MICHAEL
Executive Officer · 2.5%
4319866