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

EXETER ADVISORS, LLC

EXETER ADVISORS I, LLC, CRD 108433

FAIRPORT, 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:3883081d-4cce-84f9-971f-906a90bd2629

Data as of May 22, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to May 22, 2014
10 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: $36.0MItem 5.F on the latest filing (2014-05-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts: 35
Custody, client assets: $0
SEC number: 801-57299
CRD: 108433
Filings on the tape: 10
First filed: Mar 29, 2012
Latest filed: May 22, 2014
Organised: Limited Liability Company, Delaware

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
AUSPITZ, B, REUBEN	CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Mar 29, 2012	May 22, 2014
CUMMINGS, CHRISTOPHER, JOHN	PRESIDENT / MANAGING DIRECTOR	Na	yes	10/2011	Mar 29, 2012	May 22, 2014
GALUSHA, BETH, HENDERSHOT	Treasurer	Na	yes	10/2011	Mar 29, 2012	May 22, 2014
M&N GROUP HOLDINGS, LLC	Member	E	yes	10/2011	Mar 29, 2012	May 22, 2014
MANNING & NAPIER GROUP, LLC	MANAGING MEMBER	E	yes	10/2011	Mar 29, 2012	May 22, 2014
MANNING & NAPIER, INC.	SOLE MANAGING MEMBER	F	yes	06/2011	Mar 29, 2012	May 22, 2014
MANNING, WILLIAM	MANAGING MEMBER	E	yes	06/2011	Mar 29, 2012	May 22, 2014
MIKOLAICHIK, JAMES, EDWARD	CHIEF FINANCIAL OFFICER	Na	yes	10/2011	Mar 29, 2012	May 22, 2014
YATES, RICHARD, BUTLER	CORPORATE SECRETARY	Na	yes	10/2011	Mar 29, 2012	May 22, 2014

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
MANNING & NAPIER ADVISORS, LLC	n/a	Mixed wealth	$17B	N	yes	n/a
EXETER TRUST COMPANY	n/a	n/a	n/a	N	yes	Nh
MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
MANNING & NAPIER BENEFITS, LLC	n/a	n/a	n/a	N	yes	n/a
MANNING & NAPIER INVESTOR SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
MN XENON PARTNERS 2 LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Dublin	Oh	United States	n/a	no

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
2013	Mar 28, 2014	$31.7M	$31.7M	2	2	n/a	n/a	n/a
2012	Mar 28, 2013	$26.7M	$26.7M	3	2	n/a	n/a	n/a
2011	Mar 29, 2012	$22.8M	$22.8M	n/a	n/a	n/a	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
2013	$36.0M	$26.7M	34.6%	n/a	n/a	2	3	n/a	n/a

Relationships

Affiliated with (3)

→ MANNING & NAPIER ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (8)

← AUSPITZ, B, REUBENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MANNING, WILLIAMOwnerMANAGING MEMBER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← GALUSHA, BETH, HENDERSHOTOwnerTREASURER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← CUMMINGS, CHRISTOPHER, JOHNOwnerPRESIDENT / MANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MIKOLAICHIK, JAMES, EDWARDOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← YATES, RICHARD, BUTLEROwnerCORPORATE SECRETARY, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← M&N GROUP HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← MANNING & NAPIER GROUP, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3883081d-4cce-84f9-971f-906a90bd2629
First observed: Mar 29, 2012
Last observed: May 22, 2014 150 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.

EXETER ADVISORS, LLC

EXETER ADVISORS I, LLC, CRD 108433

FAIRPORT, 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:3883081d-4cce-84f9-971f-906a90bd2629

Data as of May 22, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUSPITZ, B, REUBEN

CHIEF COMPLIANCE OFFICER

yes

10/2011

Mar 29, 2012

May 22, 2014

CUMMINGS, CHRISTOPHER, JOHN

PRESIDENT / MANAGING DIRECTOR

yes

10/2011

Mar 29, 2012

May 22, 2014

GALUSHA, BETH, HENDERSHOT

Treasurer

yes

10/2011

Mar 29, 2012

May 22, 2014

M&N GROUP HOLDINGS, LLC

Member

yes

10/2011

Mar 29, 2012

May 22, 2014

MANNING & NAPIER GROUP, LLC

MANAGING MEMBER

yes

10/2011

Mar 29, 2012

May 22, 2014

MANNING & NAPIER, INC.

SOLE MANAGING MEMBER

yes

06/2011

Mar 29, 2012

May 22, 2014

MANNING, WILLIAM

MANAGING MEMBER

yes

06/2011

Mar 29, 2012

May 22, 2014

MIKOLAICHIK, JAMES, EDWARD

CHIEF FINANCIAL OFFICER

yes

10/2011

Mar 29, 2012

May 22, 2014

YATES, RICHARD, BUTLER

CORPORATE SECRETARY

yes

10/2011

Mar 29, 2012

May 22, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MANNING & NAPIER ADVISORS, LLC

n/a

Mixed wealth

$17B

yes

n/a

EXETER TRUST COMPANY

n/a

yes

MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, LLC

n/a

Former SEC adviser

n/a

yes

n/a

MANNING & NAPIER BENEFITS, LLC

n/a

yes

n/a

MANNING & NAPIER INVESTOR SERVICES, INC.

n/a

yes

n/a

MN XENON PARTNERS 2 LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Dublin

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 28, 2014

$31.7M

n/a

2012

Mar 28, 2013

$26.7M

n/a

2011

Mar 29, 2012

$22.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$36.0M

$26.7M

34.6%

n/a