Arax Advisory Partners, Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 133535
· SEC file 801-67165
· New York, NY
· www.youtube.com
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ADV data as of Jul 31, 2026
- Regulatory AUM
- $26.5B
- Discretionary
- $23.8B
- Clients
- 15,662
- Avg AUM / client
- $1.7M
- Accounts
- 39,138
- Employees
- 358
AUM over time
$95.2M
$26.5B
Nov 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10,206 | $3.0B | 11.5% |
| High net worth individuals | 4,949 | $21.2B | 80.1% |
| Pooled investment vehicles (non-investment companies) | 12 | $235M | 0.89% |
| Pension and profit sharing plans | 53 | $285M | 1.08% |
| Charitable organizations | 130 | $299M | 1.13% |
| Corporations and other businesses | 312 | $1.4B | 5.33% |
People (198)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Andrew Simon | Member | CFP | Jan 2005 (22y) | ≈ 3.52% – 25% via Hocondo, Llc |
| Michael P Riordan | Chief Compliance Officer | Mar 2012 (14y) | ≈ 4.69% – 25% via Cavalier Investment Holdings Miv, Llc | |
| Simon, Julia, Lockhart | Member | Apr 2022 (4y) | ≈ 1.17% – 12.5% via Hocondo, Llc | |
| Galan, Diego, J | Chief Financial Officer | Jun 2024 (2y) | Less than 5% | |
| Gerald Haig Ariyan | Chief Executive Officer | Jun 2024 (2y) | Less than 5% | |
| Paul Whitney Davis | Registered representative | Apr 2005 (21y) | ||
| Patrick Donald Johnson | Registered representative | CFP Chartered Financial Consultant | May 2007 (19y) | |
| Christian Todd Pevarnik | Registered representative | May 2009 (17y) | ||
| Jeffrey Willard Apps | Registered representative | Jul 2011 (15y) | ||
| Albert G Flores | Registered representative | CFP | Dec 2015 (11y) | |
| Jeffrey Joseph Loehr | Registered representative | CFA | Nov 2016 (10y) | |
| Terry Harland Hall | Registered representative | CFP | Dec 2016 (10y) | |
| Anjanette Monique Phetteplace | Registered representative | CFP | Apr 2020 (6y) | |
| Brian Douglas Chase | Registered representative | Personal Financial Specialist | Apr 2020 (6y) | |
| Geraldine Ann Janiczek | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| Daniel Albert Noven | Registered representative | Personal Financial Specialist | Apr 2020 (6y) | |
| Philip Joseph Cook | Registered representative | Jun 2021 (5y) | ||
| John Milton Montgomery | Registered representative | CFP | Mar 2024 (2y) | |
| Sumit Handa | Registered representative | May 2024 (2y) | ||
| Nathan Alan Croyle | Registered representative | Aug 2024 (2y) | ||
| Andrew Parker Cormack | Registered representative | Dec 2024 (2y) | ||
| Austin Robert Myers | Registered representative | Dec 2024 (2y) | ||
| Byron James Dyck | Registered representative | Dec 2024 (2y) | ||
| Benton Ramsey Ellis | Registered representative | Dec 2024 (2y) | ||
| Brandon Young Ho Lorenz | Registered representative | Dec 2024 (2y) | ||
| Daniel Stephen Graeve | Registered representative | Dec 2024 (2y) | ||
| Gerald A Clas | Registered representative | Dec 2024 (2y) | ||
| Matthew Wayne Sharkey | Registered representative | Dec 2024 (2y) | ||
| Nicholas George Daniel | Registered representative | Dec 2024 (2y) | ||
| Ryan Thomas Walls | Registered representative | Dec 2024 (2y) | ||
| Tyler Joseph Graeve | Registered representative | Dec 2024 (2y) | ||
| William Edgar Allen | Registered representative | Dec 2024 (2y) | ||
| Adam Kenley Camacho | Registered representative | Dec 2024 (2y) | ||
| Jeremy Frederick Fawcett | Registered representative | Dec 2024 (2y) | ||
| John Alex Maurer | Registered representative | Dec 2024 (2y) | ||
| Mark Thomas Neely | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Dylan Bruce Wheeler | Registered representative | Jan 2025 (2y) | ||
| John Alexander Scott, Iii | Registered representative | Jan 2025 (2y) | ||
| Shane Eli Wolfe | Registered representative | Feb 2025 (1y) | ||
| Douglas Howard Pardieck | Registered representative | Mar 2025 (1y) | ||
| Jeffrey Shane Sullivan | Registered representative | Apr 2025 (1y) | ||
| Ann Noel Campbell Spencer | Registered representative | Apr 2025 (1y) | ||
| Aaron John Hodari | Registered representative | CFP | Jun 2025 (1y) | |
| Alexander Lloyd Martin | Registered representative | Jun 2025 (1y) | ||
| Ann Marie Sandquist | Registered representative | Jun 2025 (1y) | ||
| Anthony Jacob Chisolm | Registered representative | CFP | Jun 2025 (1y) | |
| Adam Blocki | Registered representative | CFP CFA | Jun 2025 (1y) | |
| Bernard Steven Kent | Registered representative | Personal Financial Specialist | Jun 2025 (1y) | |
| Bradley Kevin Feldman | Registered representative | Jun 2025 (1y) | ||
| Brian John Mackey | Registered representative | CFA | Jun 2025 (1y) | |
| John Edward Stein | Registered representative | CFA | Jun 2025 (1y) | |
| Jordan Howard Smith | Registered representative | Jun 2025 (1y) | ||
| Michael Brian Schoffman | Registered representative | CFP | Jun 2025 (1y) | |
| Paul Robert Wehner | Registered representative | Jun 2025 (1y) | ||
| Prasad Mohan | Registered representative | Jun 2025 (1y) | ||
| Richard Joseph Elias | Registered representative | CFP | Jun 2025 (1y) | |
| Marc Rodney Schechter | Registered representative | Jul 2025 (1y) | ||
| Ryan Patrick Stuart | Registered representative | CFA | Jul 2025 (1y) | |
| Adam William Bippen | Registered representative | Aug 2025 (1y) | ||
| Kevin Matthew Beauchamp | Registered representative | Aug 2025 (1y) | ||
| Linda Sue Young | Registered representative | Aug 2025 (1y) | ||
| Seth William Roggenkamp | Registered representative | Aug 2025 (1y) | ||
| Trisha Kay Koontz | Registered representative | Aug 2025 (1y) | ||
| Allison Mehlhorn Fuehne | Registered representative | CFP | Aug 2025 (1y) | |
| Brent Stephen Spicuzza | Registered representative | Aug 2025 (1y) | ||
| Carlton Jerome Dick | Registered representative | Aug 2025 (1y) | ||
| Deborah Kay Edwards | Registered representative | CFP | Aug 2025 (1y) | |
| Kurt Thomas Propst | Registered representative | Aug 2025 (1y) | ||
| Michael Garrett Ott | Registered representative | Aug 2025 (1y) | ||
| Joseph Donald Curtis | Registered representative | Aug 2025 (1y) | ||
| Kayla Renee Nieman | Registered representative | Aug 2025 (1y) | ||
| Peter James Donovan | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Stefanie Lyne Jenkins | Registered representative | Aug 2025 (1y) | ||
| John Edward Kleinhenz | Registered representative | Sep 2025 (1y) | ||
| Joseph G Opiela | Registered representative | Sep 2025 (1y) | ||
| Karen Rose Kleinhenz | Registered representative | Sep 2025 (1y) | ||
| Anthony Lee Blueford | Registered representative | Nov 2025 (1y) | ||
| Robert Howard Lipp | Registered representative | Nov 2025 (1y) | ||
| Kristie Lynn Waldorf | Registered representative | Nov 2025 (1y) | ||
| Joshua Lee Schechter | Registered representative | Dec 2025 (1y) | ||
| Daniel Vincent Beringer | Registered representative | CFP | Feb 2026 (0y) | |
| Glenn J Arons | Registered representative | Feb 2026 (0y) | ||
| Robert Joseph Samrah | Registered representative | CFA | Feb 2026 (0y) | |
| Andrej Drazetic | Registered representative | Feb 2026 (0y) | ||
| Dennis Chapman Delphenich | Registered representative | Feb 2026 (0y) | ||
| Edward Joseph Bell | Registered representative | CFP | Feb 2026 (0y) | |
| Jacob T Cooke | Registered representative | Feb 2026 (0y) | ||
| Jennifer Weixiao Condon | Registered representative | CFP | Feb 2026 (0y) | |
| Kristian Daniel Jarosz | Registered representative | Feb 2026 (0y) | ||
| Michael Norman Manly | Registered representative | Feb 2026 (0y) | ||
| William George Caster | Registered representative | Feb 2026 (0y) | ||
| Brian Joseph Durkin | Registered representative | Feb 2026 (0y) | ||
| Carina Shipotofsky Diamond | Registered representative | CFP | Feb 2026 (0y) | |
| Steven Bennett Goode | Registered representative | CFA | Feb 2026 (0y) | |
| Brent Roger Horvath | Registered representative | CFP | Feb 2026 (0y) | |
| Sarah Louise Gries | Registered representative | CFP | Mar 2026 (0y) | |
| Sanhita Bhattacharya | Registered representative | Mar 2026 (0y) | ||
| Gregory John Bayer | Registered representative | CFP | Mar 2026 (0y) | |
| Braedon Gregory Bayer | Registered representative | Mar 2026 (0y) | ||
| Joshua David Probasco | Registered representative | Apr 2026 (0y) | ||
| Kelly Jean Stilts | Registered representative | Apr 2026 (0y) | ||
| Robert Joseph Herman | Registered representative | May 2026 (0y) | ||
| Anthony Wojda | Registered representative | May 2026 (0y) | ||
| Daniel Short | Registered representative | May 2026 (0y) | ||
| Denise Ann Morgantini | Registered representative | May 2026 (0y) | ||
| Frederico Rodriguez Jr | Registered representative | May 2026 (0y) | ||
| Gary Ben Ezra | Registered representative | CFA | May 2026 (0y) | |
| Hayden Thomas Peek | Registered representative | May 2026 (0y) | ||
| Jason Siegel | Registered representative | May 2026 (0y) | ||
| Joseph Porcelli | Registered representative | May 2026 (0y) | ||
| Kenneth Ross Brodkowitz | Registered representative | May 2026 (0y) | ||
| Michael Kirtio | Registered representative | May 2026 (0y) | ||
| Ryan Peek | Registered representative | May 2026 (0y) | ||
| Zachary David Herring | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Andrew Price Rhoads | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Javier Manuel Millares | Registered representative | Jun 2026 (0y) | ||
| Maria Romagosa Millares | Registered representative | Personal Financial Specialist | Jun 2026 (0y) | |
| Ruben Manuel Millares | Registered representative | CFP Personal Financial Specialist | Jun 2026 (0y) | |
| Patrick C. South | Registered representative | Jun 2026 (0y) | ||
| Jon P Meyer | Registered representative | Jul 2026 (0y) | ||
| Chase William Abshier | Registered representative | Jul 2026 (0y) | ||
| Ana Eugenia Romero | Registered representative | Jul 2026 (0y) | ||
| James Mc Daniel | Registered representative | Jul 2026 (0y) | ||
| Ransom Howard Adams | Registered representative | CFP | Jul 2026 (0y) | |
| Brian Ching | Registered representative | Jul 2026 (0y) | ||
| Courtney S Watson | Registered representative | Jul 2026 (0y) | ||
| Daniel Wayne Vickery | Registered representative | Jul 2026 (0y) | ||
| Denise Lynne Clifton | Registered representative | Jul 2026 (0y) | ||
| Enrique Araiza | Registered representative | Jul 2026 (0y) | ||
| Hugh Patrick Maginnis | Registered representative | Jul 2026 (0y) | ||
| John Leonard Tubbs | Registered representative | Jul 2026 (0y) | ||
| Kenneth Dale Cooper | Registered representative | Jul 2026 (0y) | ||
| Kenneth Mathieson | Registered representative | Jul 2026 (0y) | ||
| Matthew Brooke West | Registered representative | Jul 2026 (0y) | ||
| Matthew James Shields | Registered representative | Jul 2026 (0y) | ||
| Michael Francis O'connor | Registered representative | Jul 2026 (0y) | ||
| Mary Margaret Bauman | Registered representative | Jul 2026 (0y) | ||
| Michael E Farrell | Registered representative | CFA | Jul 2026 (0y) | |
| Rachel Marie Brown | Registered representative | CFP | Jul 2026 (0y) | |
| Robert David Bourland | Registered representative | Jul 2026 (0y) | ||
| Thomas Conrad Carman | Registered representative | CFP | Jul 2026 (0y) | |
| Alba Caridad Sandoval | Registered representative | Jul 2026 (0y) | ||
| Ashley Winkler Giles | Registered representative | CFP | Jul 2026 (0y) | |
| Aaron Salgado | Registered representative | Jul 2026 (0y) | ||
| Bradley Alan Slater | Registered representative | Jul 2026 (0y) | ||
| Bradley Shannon Shields | Registered representative | Jul 2026 (0y) | ||
| Charles Trask Dix | Registered representative | Jul 2026 (0y) | ||
| Clayton Allen Fisher | Registered representative | CFP | Jul 2026 (0y) | |
| David Lee Solomon | Registered representative | Jul 2026 (0y) | ||
| Gayle Ann Terry | Registered representative | Jul 2026 (0y) | ||
| Jessie Timmins | Registered representative | Jul 2026 (0y) | ||
| John Olwyn Dix | Registered representative | Jul 2026 (0y) | ||
| Julieta H Sandoval | Registered representative | Jul 2026 (0y) | ||
| Nathaniel Wayne Galloway | Registered representative | Jul 2026 (0y) | ||
| Peyton Louis Denney | Registered representative | Jul 2026 (0y) | ||
| Scott Michael Selzer | Registered representative | Jul 2026 (0y) | ||
| Amanda Ton | Registered representative | Jul 2026 (0y) | ||
| Christian Chance Bauman | Registered representative | CFP | Jul 2026 (0y) | |
| Deborah Tinnell Ellis | Registered representative | Jul 2026 (0y) | ||
| Derek Su | Registered representative | Jul 2026 (0y) | ||
| Elisa C Flores | Registered representative | Jul 2026 (0y) | ||
| Gil Aaron Beer | Registered representative | Jul 2026 (0y) | ||
| Karee Hoffman Sampson | Registered representative | Jul 2026 (0y) | ||
| Karen Elizabeth Frankfort | Registered representative | Jul 2026 (0y) | ||
| Kelly Albert Rushing | Registered representative | Jul 2026 (0y) | ||
| Lavada Fulgham Waters | Registered representative | Jul 2026 (0y) | ||
| Nicholas Laws Erwin | Registered representative | CFP | Jul 2026 (0y) | |
| Patricia Sue Trieglaff | Registered representative | Jul 2026 (0y) | ||
| Stephen James Tolbert | Registered representative | Jul 2026 (0y) | ||
| Barry Stephen Guinn | Registered representative | Jul 2026 (0y) | ||
| Bryan Lee Prihoda | Registered representative | Jul 2026 (0y) | ||
| Caleb Daniel La Vergne | Registered representative | Jul 2026 (0y) | ||
| David Michael King | Registered representative | Jul 2026 (0y) | ||
| Davis Kelly Rushing | Registered representative | Jul 2026 (0y) | ||
| Debra Schaper Parant | Registered representative | CFA | Jul 2026 (0y) | |
| Edward Randall | Registered representative | Jul 2026 (0y) | ||
| Gregory Todd Lavergne | Registered representative | Jul 2026 (0y) | ||
| Idania Danielle Reyes | Registered representative | Jul 2026 (0y) | ||
| James Fountain Gilley Jr | Registered representative | Jul 2026 (0y) | ||
| James Patrick Fortescue | Registered representative | Jul 2026 (0y) | ||
| Jake Isaiah Given | Registered representative | Jul 2026 (0y) | ||
| Jesse Charles Isensee | Registered representative | Jul 2026 (0y) | ||
| Joshua Lavergne | Registered representative | Jul 2026 (0y) | ||
| Kelly Ryan Cooper | Registered representative | CFP | Jul 2026 (0y) | |
| Kimberly Ripoll | Registered representative | CFP | Jul 2026 (0y) | |
| Keith Hassan | Registered representative | Jul 2026 (0y) | ||
| Larissa Anna Poindexter | Registered representative | Jul 2026 (0y) | ||
| Leslie Woods Rich | Registered representative | Jul 2026 (0y) | ||
| Philip John Pilibosian | Registered representative | Jul 2026 (0y) | ||
| Randall Shawn Jones | Registered representative | Jul 2026 (0y) | ||
| Roman Feagins Reed | Registered representative | Jul 2026 (0y) | ||
| Ryan C Ringuet | Registered representative | Jul 2026 (0y) | ||
| Samuel D Parker Jr. | Registered representative | Jul 2026 (0y) | ||
| Stephan M Farber | Registered representative | Jul 2026 (0y) | ||
| Tammy Nguyen Lee | Registered representative | CFP | Jul 2026 (0y) | |
| Titus Holliday Harris | Registered representative | Jul 2026 (0y) | ||
| William Richard Hurt | Registered representative | Jul 2026 (0y) | ||
| Yona S Reaux | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Cavalier Investment Holdings, Llc | Member | Jun 2024 | A | 75% or more |
| Arax Wealth Management, Llc | Member | Apr 2024 | B | ≈ 56.25% – 100% via Cavalier Investment Holdings, Llc |
| Arax Midco, Llc | Member | Jun 2023 | B | ≈ 42.19% – 100% via Arax Wealth Management, Llc |
| Arax Investment Partners, Llc | Member | Jun 2023 | B | ≈ 31.64% – 100% via Arax Midco, Llc |
| Arax Business Trust | Member | Mar 2023 | B | ≈ 23.73% – 100% via Arax Investment Partners, Llc |
| Cavalier Investment Holdings Miv, Llc | Member | Apr 2024 | B | ≈ 18.75% – 50% via Cavalier Investment Holdings, Llc |
| Hocondo, Llc | Member | Jun 2024 | B | ≈ 4.69% – 25% via Cavalier Investment Holdings Miv, Llc |
| Redbird Capital Partners Fund Iv Genpar Llc | Trustee | Jan 2023 | B | GP / trustee / elected manager of Arax Business Trust (indirect) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Andrew Simon: 75% – 100% of Hocondo, Llc × 25% – 50% of Cavalier Investment Holdings Miv, Llc × 25% – 50% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 3.52% – 25% of the firm
- Michael P Riordan: 25% – 50% of Cavalier Investment Holdings Miv, Llc × 25% – 50% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 4.69% – 25% of the firm
- Simon, Julia, Lockhart: 25% – 50% of Hocondo, Llc × 25% – 50% of Cavalier Investment Holdings Miv, Llc × 25% – 50% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 1.17% – 12.5% of the firm
- Arax Wealth Management, Llc: 75% – 100% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Arax Midco, Llc: 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Arax Investment Partners, Llc: 75% – 100% of Arax Midco, Llc × 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Arax Business Trust: 75% – 100% of Arax Investment Partners, Llc × 75% – 100% of Arax Midco, Llc × 75% – 100% of Arax Wealth Management, Llc × 75% – 100% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Cavalier Investment Holdings Miv, Llc: 25% – 50% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Hocondo, Llc: 25% – 50% of Cavalier Investment Holdings Miv, Llc × 25% – 50% of Cavalier Investment Holdings, Llc × 75% – 100% direct ≈ 4.69% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/23/2026 | 3.41 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
- • Other fees
- • SEMINARS, TRUSTEE SERVICES, BILL PAY, TAX PREP, RIA SHARED SVCS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $8.3B (36% of AUM) Jun 2026
- National Financial Services (Fidelity) $6.2B (27% of AUM) Jun 2026
- Charles Schwab & Co. $6.0B (26% of AUM) Jun 2026
- Pershing $2.6B (11% of AUM) Jun 2026
- Sei Investments Distribution Co. $212M (8% of AUM) Jan 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗