DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

OTTO & ASSOCIATES, INC.

CRD 109493

NORWICH, VT

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:417ebb65-d6ba-3cc9-5007-ba8fb1ee0130

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Mar 26, 2026
27 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: $287MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $287M
Private client RAUM: $286MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $95.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 629
Individual clients: 76
High net worth clients: 76
SEC number: 801-58024
CRD: 109493
Filings on the tape: 27
First filed: Mar 6, 2012
Latest filed: Mar 26, 2026
Organised: Corporation, NY
Website: ottoandassociates.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID WILLIAM OTTO	Certified Financial Planner	Norwich, VT \| NORWICH, VT	23	41	n/a	no
SUSAN OTTO GOODELL	Certified Financial Planner	NORWICH, VT	12	17	n/a	no
Deborah L Maher	Certified Financial Planner	NORWICH, VT	5	29	n/a	no

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
GOODELL, SUSAN, OTTO	CHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER	D	yes	12/2023	Mar 6, 2012	Mar 25, 2024
OTTO, DAVID, WILLIAM	CHIEF EXECUTIVE OFFICER EMERITUS	C	yes	12/2023	Mar 6, 2012	Mar 25, 2024
OTTO, ELIZABETH, NMI	Shareholder	B	no	12/2010	Mar 6, 2012	Mar 25, 2024

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
2025	Mar 26, 2026	$287M	$287M	6	3	0	n/a	n/a
2024	Mar 18, 2025	$250M	$250M	6	3	0	n/a	n/a
2023	Mar 25, 2024	$223M	$223M	6	3	0	n/a	n/a
2022	Mar 16, 2023	$194M	$194M	6	3	0	n/a	n/a
2021	Mar 17, 2022	$220M	$220M	6	3	0	n/a	n/a
2020	Mar 24, 2021	$188M	$188M	5	3	1	n/a	n/a
2019	Mar 12, 2020	$167M	$167M	5	3	1	n/a	n/a
2018	Mar 19, 2019	$141M	$141M	5	3	1	n/a	n/a
2017	Mar 20, 2018	$154M	$154M	5	3	1	n/a	n/a
2016	Mar 8, 2017	$121M	$121M	5	3	n/a	n/a	n/a
2015	Mar 7, 2016	$110M	$110M	5	3	n/a	n/a	n/a
2014	Feb 12, 2015	$116M	$116M	5	3	n/a	n/a	n/a
2013	Mar 4, 2014	$108M	$108M	5	3	n/a	n/a	n/a
2012	Mar 4, 2013	$93.6M	$93.6M	5	3	n/a	n/a	n/a
2011	Mar 6, 2012	$84.6M	$84.6M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

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
2025	$287M	$250M	14.7%	$194M	13.8%	6	6	0	0

Relationships

Registered with (3)

← Deborah L MaherAdvisorregistration: current employment
Aug 18, 2021 to presentfactForm ADV
← SUSAN OTTO GOODELLAdvisorregistration: current employment
Nov 22, 2013 to presentfactForm ADV
← DAVID WILLIAM OTTOAdvisorregistration: current employment
Mar 28, 2003 to presentfactForm ADV

Controls (2)

← OTTO, DAVID, WILLIAMOwnerCHIEF EXECUTIVE OFFICER EMERITUS, ownership code C, individual
Mar 6, 2012 to Mar 25, 2024factForm ADV
← GOODELL, SUSAN, OTTOOwnerCHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 6, 2012 to Mar 25, 2024factForm ADV

Owns (1)

← OTTO, ELIZABETH, NMIOwnerSHAREHOLDER, ownership code B, individual
Mar 6, 2012 to Mar 25, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:417ebb65-d6ba-3cc9-5007-ba8fb1ee0130
First observed: Mar 6, 2012
Last observed: Mar 26, 2026 5 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.

OTTO & ASSOCIATES, INC.

CRD 109493

NORWICH, VT

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:417ebb65-d6ba-3cc9-5007-ba8fb1ee0130

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID WILLIAM OTTO

Certified Financial Planner

Norwich, VT | NORWICH, VT

n/a

SUSAN OTTO GOODELL

Certified Financial Planner

NORWICH, VT

n/a

Deborah L Maher

Certified Financial Planner

NORWICH, VT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOODELL, SUSAN, OTTO

CHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER

yes

12/2023

Mar 6, 2012

Mar 25, 2024

OTTO, DAVID, WILLIAM

CHIEF EXECUTIVE OFFICER EMERITUS

yes

12/2023

Mar 6, 2012

Mar 25, 2024

OTTO, ELIZABETH, NMI

Shareholder

12/2010

Mar 6, 2012

Mar 25, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$287M

n/a

2024

Mar 18, 2025

$250M

n/a

2023

Mar 25, 2024

$223M

n/a

2022

Mar 16, 2023

$194M

n/a

2021

Mar 17, 2022

$220M

n/a

2020

Mar 24, 2021

$188M

n/a

2019

Mar 12, 2020

$167M

n/a

2018

Mar 19, 2019

$141M

n/a

2017

Mar 20, 2018

$154M

n/a

2016

Mar 8, 2017

$121M

n/a

2015

Mar 7, 2016

$110M

n/a

2014

Feb 12, 2015

$116M

n/a

2013

Mar 4, 2014

$108M

n/a

2012

Mar 4, 2013

$93.6M

n/a

2011

Mar 6, 2012

$84.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$287M

$250M

14.7%

$194M

13.8%