DFX Intelligence

Data Factory

A••••••• G•••• F•••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A••••••• G•••• F•••••••• S•••••••• L••

CRD 151451

UTICA, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0226df17-15d7-b8dd-6f90-411d83f4a9a7

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 2, 2012 to Mar 26, 2021
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $27.7MItem 5.F on the latest filing (2021-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.7M
Private client RAUM: $27.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••••• R•••••• K••••••	CHIEF COMPLIANCE OFFICER / MEMBER	E	yes	10/2009	Feb 2, 2012	Mar 26, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$27.7M	$29.6M	-6.6%	$26.9M	0.9%	2	2	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	2	Nov 30, 2021	Dec 4, 2017	UTICA, NY	Team lift out	RIA to ibd	100.0%

Relationships

Controls (1)

← W••••••• R•••••• K••••••OwnerCHIEF COMPLIANCE OFFICER / MEMBER, ownership code E, individual
Feb 2, 2012 to presentfactForm ADV

Registered with (3)

← R••••• K•••••• W••••••Advisorregistration: previous registration
Mar 26, 2014 to Nov 30, 2021factForm ADV
← HEATHER E HAWLEYAdvisorregistration: previous registration
Apr 23, 2014 to Nov 30, 2021factForm ADV
← DEAN GEORGE LEOUNIS

Dated events

Occurred
Jan 31, 2017
First Form ADV filing
A••••••• G•••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0226df17-15d7-b8dd-6f90-411d83f4a9a7
First observed: Feb 2, 2012
Last observed: Mar 26, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.