DFX Intelligence

P••••••• C••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

P••••••• C••••••••• I•••

CRD 144990

UTICA, NY

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Search this name across graphsid dfx:ria:21d51093-83a0-f912-03e6-9de888f7afa0

Data as of Mar 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 8
On other graphs: 0
Observed: Mar 20, 2012 to Mar 25, 2024
26 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: $5.9M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $1.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•• L••••• M••••••••	n/a	UTICA, NY	6	34	2	yes
S•••• A••• M•••••••	n/a	UTICA, NY	6	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• A••• L•••••	EXECUTIVE VICE PRESIDENT	C	yes	06/2010	Mar 20, 2012	Mar 25, 2024
S•••••• L•••••• A••	CHIEF COMPLIANCE OFFICER	D	yes	04/2019	Mar 20, 2012	Mar 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$5.9M	$212M	-97.2%	$440M	-76.2%	4	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••••••• F•••••••• G••••• L••	2	Mar 25, 2024	Apr 25, 2014	UTICA, NY	Team lift out	Other	100.0%

Relationships

Registered with (6)

← R•••••• M•••• A•••••Advisorregistration: previous registration
Jul 28, 2021 to Nov 10, 2022factForm ADV
← S•••• A••• M•••••••Advisorregistration: previous registration
Dec 22, 2014 to Nov 10, 2022factForm ADV
← L••••• A•• S•••••Advisorregistration: previous registration
Jan 22, 2008 to Mar 25, 2024factForm ADV
← A•• L••••• M••••••••

Dated events

Occurred
Mar 25, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-163M
Occurred
Mar 25, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Mar 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 25, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21d51093-83a0-f912-03e6-9de888f7afa0
First observed: Mar 20, 2012
Last observed: Mar 25, 2024 30 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.