DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

N•• H•••••• F•••••••• S••••••••• L••

CRD 125729

ITHACA, NY

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Search this name across graphsid dfx:ria:251e9fcb-0987-affd-7118-f4f5a42e94ae

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 2, 2020 to Mar 3, 2026
14 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $217M••• Locked
Discretionary RAUM: $161M
Private client RAUM: $216Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $72.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• A•••••••• S••••••	Certified Financial Planner	ITHACA, NY	5	41	n/a	no
A••••• M•••• O•••••	Certified Financial Planner	ITHACA, NY	5	28	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••••• A•••••• M••••	Partner	D	yes	10/2019	Mar 2, 2020	Feb 13, 2024
T••••••••• K••••• P••••	CHIEF COMPLIANCE OFFICER	C	yes	10/2018	Mar 2, 2020	Feb 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• S••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$217M	$184M	18.1%	$58.5M	54.9%	7	7	0	0

Relationships

Registered with (3)

← K•••• P•••• T••••••••Advisorregistration: current employment
Jul 21, 2022 to presentfactForm ADV
← P••• A•••••••• S••••••Advisorregistration: current employment
Apr 14, 2021 to presentfactForm ADV
← A••••• M•••• O•••••Advisorregistration: current employment
Apr 14, 2021 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Feb 1, 2023
Control person left
Alexander P••• S•••••• (Partner) no longer on Schedule A of N•• H•••••• F•••••••• S••••••••• L•• (listed 2022-08-10, absent 2023-02-01)
Form ADVobserved 7 days ago
Occurred
Mar 2, 2020
First Form ADV filing
N•• H•••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:251e9fcb-0987-affd-7118-f4f5a42e94ae
First observed: Mar 2, 2020
Last observed: Mar 3, 2026 6 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.