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D••••••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D••••••••• C•••••• M••••••••• L••

CRD 135096

SYRACUSE, NY

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Search this name across graphsid dfx:ria:0dc810b8-0853-f5f0-9968-15cdfbc873b7

Data as of Dec 9, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Dec 9, 2015
8 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: $420M••• Locked
Discretionary RAUM: $311M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S•••••• L••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2014	Dec 2, 2014	Dec 9, 2015
R•••• R•••••• J•••	Principal	E	yes	08/2002	Mar 30, 2012	Dec 9, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••••••• I••••••••• M••••••••• L••	n/a	Independent wealth	$1.8B	N	no	n/a
C•••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$31.7M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 19, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$420M	$543M	-22.7%	$523M	-7.0%	4	6	n/a	n/a

Relationships

Affiliated with (2)

→ R••••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser
factForm ADV
→ C•••••• A•••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← R•••• R•••••• J•••OwnerPRINCIPAL, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← C••••• S•••••• L••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0dc810b8-0853-f5f0-9968-15cdfbc873b7
First observed: Mar 30, 2012
Last observed: Dec 9, 2015 131 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.