Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Realterm
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
REALTERM HOLDINGS, LLCDirect owner · Schedule AInterest in REALTERM
50% to < 75%
Robert FordiDirect owner · Schedule AInterest in REALTERM
25% to < 50%
KENNETH S CODEDirect owner · Schedule AInterest in REALTERM
25% to < 50%
JOHN CAMMETTDirect owner · Schedule AInterest in REALTERM
25% to < 50%
RF INVESTCO, LLCDirect owner · Schedule AInterest in REALTERM
25% to < 50%
KENNETH S CODEIndirect owner · Schedule BInterest in REALTERM HOLDINGS, LLC
25% to < 50%
JOHN CAMMETTIndirect owner · Schedule BInterest in REALTERM HOLDINGS, LLC
25% to < 50%
Robert FordiIndirect owner · Schedule BInterest in RF INVESTCO, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Realterm.
Reported ownership and control details
Form ADV · Filing date 2026-05-06 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JASON SAUL ROSENBERGCHIEF COMPLIANCE OFFICERIndividual | REALTERM | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER05/2022 | Schedule APDF page 87 |
| 2 | Balazs LadosMANAGING DIRECTOR AND FUND MANAGER RELFIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND FUND MANAGER RELF08/2020 | Schedule APDF page 87 |
| 3 | Robert FordiCHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICERIndividual | REALTERM | 25% to less than 50%Code C | Yes | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER07/1999 | Schedule APDF page 87 |
| 4 | stephen PanosMANAGING DIRECTOR AND FUND MANAGER RLIFIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND FUND MANAGER RLIF08/2018 | Schedule APDF page 87 |
| 5 | EDWARD PHILIP BRICKLEYMANAGING DIRECTOR AND FUND MANAGER RLF SERIESIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND FUND MANAGER RLF SERIES06/2011 | Schedule APDF page 87 |
| 6 | Aaron SacksMANAGING DIRECTOR AND GENERAL COUNSELIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND GENERAL COUNSEL07/2013 | Schedule APDF page 87 |
| 7 | PETER GIDEON LESBURGMANAGING DIRECTOR CAPITAL MARKETSIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR CAPITAL MARKETS01/2011 | Schedule APDF page 87 |
| 8 | Duncan PickettPRESIDENT AND CHIEF OPERATING OFFICERIndividual | REALTERM | Less than 5%Code NA | Yes | PRESIDENT AND CHIEF OPERATING OFFICER05/2018 | Schedule APDF page 87 |
| 9 | AMANDA BATTISTCHIEF FINANCIAL OFFICER EUROPEIndividual | REALTERM | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER EUROPE03/2012 | Schedule APDF page 87 |
| 10 | Roberta PaquinCHIEF FINANCIAL OFFICER NORTH AMERICA, AND GLOBAL ACCOUNTING OFFICERIndividual | REALTERM | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER NORTH AMERICA, AND GLOBAL ACCOUNTING OFFICER11/2014 | Schedule APDF page 87 |
| 11 | Grayson WitmerMANAGING DIRECTOR CORPORATE DEVELOPMENTIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR CORPORATE DEVELOPMENT05/2012 | Schedule APDF page 87 |
| 12 | Alberto Radice FossatiMANAGING DIRECTOR AND FUND MANAGER RELIFIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND FUND MANAGER RELIF01/2022 | Schedule APDF page 87 |
| 13 | PAUL C SISSONMANAGING DIRECTOR AND HEAD OF CREDIT SOLUTIONSIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND HEAD OF CREDIT SOLUTIONS01/2023 | Schedule APDF page 87 |
| 14 | KENNETH S CODECO-CHAIRMAN AND FOUNDERIndividual | REALTERM | 25% to less than 50%Code C | Yes | CO-CHAIRMAN AND FOUNDER04/1991 | Schedule APDF page 87 |
| 15 | JOHN CAMMETTCO-CHAIRMAN AND FOUNDERIndividual | REALTERM | 25% to less than 50%Code C | Yes | CO-CHAIRMAN AND FOUNDER04/1991 | Schedule APDF page 87 |
| 16 | REALTERM HOLDINGS, LLCMEMBERDomestic entity | REALTERM | 50% to less than 75%Code D | Yes | MEMBER03/2019 | Schedule APDF page 87 |
| 17 | RF INVESTCO, LLCMEMBERDomestic entity | REALTERM | 25% to less than 50%Code C | Yes | MEMBER08/2013 | Schedule APDF page 87 |
| 18 | PAUL UNDERWOODSENIOR MANAGING DIRECTOR, FUND MANAGEMENTIndividual | REALTERM | Less than 5%Code NA | Yes | SENIOR MANAGING DIRECTOR, FUND MANAGEMENT01/2006 | Schedule APDF page 87 |
| 19 | Toni RyanFUND MANAGER, APACIndividual | REALTERM | Less than 5%Code NA | Yes | FUND MANAGER, APAC09/2022 | Schedule APDF page 87 |
| 20 | Bastian van HalderMANAGING DIRECTOR, APACIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR, APAC10/2021 | Schedule APDF page 87 |
| 21 | David RoseMANAGING DIRECTOR AND FUND MANAGER RALPIndividual | REALTERM | Less than 5%Code NA | Yes | MANAGING DIRECTOR AND FUND MANAGER RALP09/2015 | Schedule APDF page 87 |
| 22 | WADE WILLIAM JUDGEEXECUTIVE VICE PRESIDENTIndividual | REALTERM | Less than 5%Code NA | Yes | EXECUTIVE VICE PRESIDENT04/2020 | Schedule APDF page 87 |
| 23 | KENNETH S CODEACTIVEIndividual | REALTERM HOLDINGS, LLC | 25% to less than 50%Code C | Yes | ACTIVE03/2019 | Schedule BPDF page 88 |
| 24 | JOHN CAMMETTACTIVEIndividual | REALTERM HOLDINGS, LLC | 25% to less than 50%Code C | Yes | ACTIVE03/2019 | Schedule BPDF page 88 |
| 25 | Robert FordiACTIVEIndividual | RF INVESTCO, LLC | 25% to less than 50%Code C | Yes | ACTIVE08/2013 | Schedule BPDF page 88 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 5/6/2026 3:14:11 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.