SourcingSourcing

ARISTA ADVISORY GROUP, LLC

A88
CRD 285722·SEC 801-108720·ALBANY, NY
AUM
$143.7M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$431K
@ 30% margin
Est. Deal Value
$3.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ARISTA ADVISORY GROUP, LLC
CRD
285722
SEC file #
801-108720
EIN
—
DBA names
—

Economics

AUM
$143.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$172.4M → $143.7M▼ -17%
Client mix
Individuals Other193
Individuals High Net Worth29
Charitable Organizations11
Corporations1

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
3 advisors → 1 advisors▼ -67%
Primary office
ALBANY NY
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
aristaadv.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SCHWARTZ, GERALD, MAX
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
SCHWARTZ, GERALD, MAX
Mullin, Kimberly, Marie
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
ARISTAADV.COM
Rdap Domain Creation Date
2001-07-18T22:21:20Z
Rdap Firm Age Years
25
Rdap Firm Age Band
20+y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
45,339
Form 5500 Compensation Trajectory 3y
202545,339
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
45,339
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-18T22:21:20Z
Rdap Domain Last Changed
2025-05-28T12:01:04Z
Rdap Nameservers
Ns1.cl01.itsyourit.comNs2.cl01.itsyourit.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
848425
Trust Company Affiliate
No

People (3)

3
GERALD MAX SCHWARTZ
Direct Owner · 62.5%
848425
MURPHY, BERNARD, CHARLES
IAR · Direct Owner · 17.5%
6186110
Mullin, Kimberly, Marie
Direct Owner · 17.5%
6729758