DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

FINTRON ADVISORS, LLC

CRD 324052

STAMFORD, CT

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:26ce87f3-29e6-ec5a-ca38-95ad937bfd39

Data as of Mar 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 0
Observed: Jul 21, 2023 to Mar 21, 2025
11 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: $0Item 5.F on the latest filing (2025-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-128611
CRD: 324052
Filings on the tape: 11
First filed: Jul 21, 2023
Latest filed: Mar 21, 2025
Organised: Limited Liability Company, DE
Website: fintroninvest.com

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
APEX FINTECH SOLUTIONS, INC.	Member	E	yes	10/2024	Oct 14, 2024	Dec 9, 2024
Fatse, Matthew, John	CHIEF OPERATIONS OFFICER	Na	yes	04/2023	Jul 21, 2023	Dec 9, 2024
HULSIZER, MATTHEW, NELS	MANAGING MEMBER	D	yes	11/2009	Nov 29, 2024	Dec 9, 2024
JUST, JENNIFER, JANE	MANAGING MEMBER	D	yes	11/2009	Dec 9, 2024	Dec 9, 2024
PEAK6 APX HOLDINGS LLC	Member	E	yes	02/2022	Nov 29, 2024	Dec 9, 2024
PEAK6 LLC	Member	E	yes	09/2018	Nov 29, 2024	Dec 9, 2024
Rumpf, Wilder, Frances	PRESIDENT/CHIEF EXECUTIVE OFFICER	Na	yes	04/2023	Aug 28, 2023	Dec 9, 2024
FELDMAN, RICHARD, MARK	Finop	Na	no	03/2021	Dec 9, 2024	Dec 9, 2024
FINTRON, INC.	PARENT COMPANY	E	no	08/2019	Jul 21, 2023	Dec 9, 2024
ROZAS, LARRY, RAPHAEL	Cco	Na	no	04/2024	Oct 14, 2024	Dec 9, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
APEX FINTECH BROKERAGE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a

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
2024	Mar 21, 2025	$0	$0	1	1	0	n/a	n/a
2023	Apr 2, 2024	n/a	n/a	1	1	0	n/a	n/a

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
2024	$0	n/a	n/a	n/a	n/a	1	1	0	0

Relationships

Registered with (2)

← LARRY RAPHAEL ROZASAdvisorregistration: previous registration
Apr 24, 2024 to Apr 5, 2025factForm ADV
← JOSEPH FRANK KROLESKIAdvisorregistration: previous registration
Jul 24, 2023 to Apr 14, 2024factForm ADV

Controls (7)

← JUST, JENNIFER, JANEOwnerMANAGING MEMBER, ownership code D, individual
Dec 9, 2024 to Dec 9, 2024factForm ADV
← HULSIZER, MATTHEW, NELSOwnerMANAGING MEMBER, ownership code D, individual
Nov 29, 2024 to Dec 9, 2024factForm ADV
← Rumpf, Wilder, FrancesOwnerPRESIDENT/CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 28, 2023 to Dec 9, 2024factForm ADV
← Fatse, Matthew, JohnOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Jul 21, 2023 to Dec 9, 2024factForm ADV
← APEX FINTECH SOLUTIONS, INC.OwnerMEMBER, ownership code E, domestic entity
Oct 14, 2024 to Dec 9, 2024factForm ADV
← PEAK6 APX HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Nov 29, 2024 to Dec 9, 2024factForm ADV
← PEAK6 LLCOwnerMEMBER, ownership code E, domestic entity
Nov 29, 2024 to Dec 9, 2024factForm ADV

Owns (3)

← FELDMAN, RICHARD, MARKOwnerFINOP, ownership code NA, individual
Dec 9, 2024 to Dec 9, 2024factForm ADV
← ROZAS, LARRY, RAPHAELOwnerCCO, ownership code NA, individual
Oct 14, 2024 to Dec 9, 2024factForm ADV
← FINTRON, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Jul 21, 2023 to Dec 9, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 5, 2025
Advisor changed firm
Larry Raphael Rozas left Fintron Advisors, Llc for Bolton Global Asset Management (registered 2025-04-14)
Form ADVobserved 3 days ago
Occurred
Dec 9, 2024
Control person joined
Jane Jennifer Just (Managing Member) appeared on Schedule A of Fintron Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Nov 29, 2024
Control person joined
Nels Matthew Hulsizer (Managing Member) appeared on Schedule A of Fintron Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Apr 14, 2024
Advisor changed firm
Joseph Frank Kroleski left Fintron Advisors, Llc for Kestra Advisory Services, Llc (registered 2026-01-21)
Form ADVobserved 3 days ago
Occurred
Apr 2, 2024
Control person left
Frank Joseph Kroleski (Chief Compliance Officer) no longer on Schedule A of Fintron Advisors, Llc (listed 2023-10-03, absent 2024-04-02)
Form ADVobserved 3 days ago
Occurred
Aug 28, 2023
Control person joined
Frances Wilder Rumpf (Chief Executive Officer) appeared on Schedule A of Fintron Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Jul 21, 2023
First Form ADV filing
Fintron Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Aug 3, 2026
Fintron Advisors, Llc no longer on the SEC adviser roster (last listed 2026-07-01)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:26ce87f3-29e6-ec5a-ca38-95ad937bfd39
First observed: Jul 21, 2023
Last observed: Mar 21, 2025 18 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.

FINTRON ADVISORS, LLC

CRD 324052

STAMFORD, CT

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:26ce87f3-29e6-ec5a-ca38-95ad937bfd39

Data as of Mar 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:45 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

APEX FINTECH SOLUTIONS, INC.

Member

yes

10/2024

Oct 14, 2024

Dec 9, 2024

Fatse, Matthew, John

CHIEF OPERATIONS OFFICER

yes

04/2023

Jul 21, 2023

Dec 9, 2024

HULSIZER, MATTHEW, NELS

MANAGING MEMBER

yes

11/2009

Nov 29, 2024

Dec 9, 2024

JUST, JENNIFER, JANE

MANAGING MEMBER

yes

11/2009

Dec 9, 2024

PEAK6 APX HOLDINGS LLC

Member

yes

02/2022

Nov 29, 2024

Dec 9, 2024

PEAK6 LLC

Member

yes

09/2018

Nov 29, 2024

Dec 9, 2024

Rumpf, Wilder, Frances

PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

04/2023

Aug 28, 2023

Dec 9, 2024

FELDMAN, RICHARD, MARK

Finop

03/2021

Dec 9, 2024

FINTRON, INC.

PARENT COMPANY

08/2019

Jul 21, 2023

Dec 9, 2024

ROZAS, LARRY, RAPHAEL

Cco

04/2024

Oct 14, 2024

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

APEX FINTECH BROKERAGE SERVICES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 21, 2025

n/a

2023

Apr 2, 2024

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

n/a