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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NIXON PEABODY FINANCIAL ADVISORS LLC

CRD 117232

ROCHESTER, 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:46c0c4ba-d951-3fb5-d202-96c1e6fa468b

Data as of Jan 17, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jan 17, 2018
21 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: $176MItem 5.F on the latest filing (2018-01-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $66.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 8
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 115
Individual clients: 17
High net worth clients: 26
Custody, client assets: $142M
SEC number: 801-64472
CRD: 117232
Filings on the tape: 21
First filed: Mar 28, 2012
Latest filed: Jan 17, 2018
Organised: Limited Liability Company, New York

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
ANDERSON, DEBORAH, LYNN	CHIEF EXECUTIVE OFFICER AND BOARD MEMBER	Na	yes	02/2010	Mar 28, 2012	Jan 17, 2018
ELLS, ANDREA, MARIE	PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD MEMBER	Na	yes	10/2013	Oct 23, 2013	Jan 17, 2018
JONES, DANIEL, NORRIS	VICE PRESIDENT, DIRECTOR OF TAX & FINANCIAL PLANNING, AND BOARD MEMBER	Na	yes	05/2015	May 27, 2015	Jan 17, 2018
LEGGIADRO, WAYNE, PATRICK	BOARD MEMBER	Na	yes	01/2012	Mar 28, 2012	Jan 17, 2018
MAHONEY, BRIAN, WILLIAM	BOARD MEMBER	Na	yes	08/2015	Aug 28, 2015	Jan 17, 2018
NIXON PEABODY LLP	Owner	E	yes	08/2000	Mar 28, 2012	Jan 17, 2018
PAUL, MARY, MARGARET	SENIOR PLANNER, DIRECTOR OF TAX ADMINISTRATION	Na	yes	01/2015	Feb 4, 2015	Jan 17, 2018

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
OMNICAP GROUP LLC	n/a	Institutional manager	$6.5B	N	yes	n/a
NIXON PEABODY LLP	n/a	n/a	n/a	Y	no	n/a
WATCH POINT TRUST COMPANY	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
Washington	Dc	United States	3	no
Boston	Ma	United States	1	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
2017	Jan 17, 2018	$176M	$0	9	8	2	n/a	n/a
2016	Mar 28, 2017	$151M	$0	18	7	n/a	n/a	n/a
2015	Mar 22, 2016	$46.3M	$0	16	7	n/a	n/a	n/a
2014	Feb 4, 2015	$43.1M	$0	15	7	n/a	n/a	n/a
2013	Mar 27, 2014	$36.8M	$0	10	7	n/a	n/a	n/a
2012	Mar 25, 2013	$52.8M	$0	10	7	n/a	n/a	n/a
2011	Mar 28, 2012	$34.7M	$0	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
2017	$176M	$151M	17.0%	$43.1M	60.0%	9	18	2	n/a

Relationships

Affiliated with (1)

→ OMNICAP GROUP LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← LEGGIADRO, WAYNE, PATRICKOwnerBOARD MEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← MAHONEY, BRIAN, WILLIAMOwnerBOARD MEMBER, ownership code NA, individual
Aug 28, 2015 to presentfactForm ADV
← JONES, DANIEL, NORRISOwnerVICE PRESIDENT, DIRECTOR OF TAX & FINANCIAL PLANNING, AND BOARD MEMBER, ownership code NA, individual
May 27, 2015 to presentfactForm ADV
← ANDERSON, DEBORAH, LYNNOwnerCHIEF EXECUTIVE OFFICER AND BOARD MEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← ELLS, ANDREA, MARIEOwnerPRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD MEMBER, ownership code NA, individual
Oct 23, 2013 to presentfactForm ADV
← PAUL, MARY, MARGARETOwnerSENIOR PLANNER, DIRECTOR OF TAX ADMINISTRATION, ownership code NA, individual
Feb 4, 2015 to presentfactForm ADV
← NIXON PEABODY LLPOwnerOWNER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (5)

← DANIEL NORRIS JONESAdvisorregistration: previous registration
Nov 18, 2015 to Nov 14, 2018factForm ADV
← ANDREA MARIE ELLSAdvisorregistration: previous registration
Jun 24, 2014 to May 16, 2018factForm ADV
← LAWRENCE FRANCIS DOOLEYAdvisorregistration: previous registration
Jan 17, 2008 to Mar 18, 2011factForm ADV
← SCOTT MICHAEL LEFEBREAdvisorregistration: previous registration
Dec 11, 2008 to Feb 25, 2010factForm ADV
← RICHARD THOMAS BENTLEYAdvisorregistration: previous registration
Jul 8, 2004 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46c0c4ba-d951-3fb5-d202-96c1e6fa468b
First observed: Mar 28, 2012
Last observed: Jan 17, 2018 105 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.

NIXON PEABODY FINANCIAL ADVISORS LLC

CRD 117232

ROCHESTER, 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:46c0c4ba-d951-3fb5-d202-96c1e6fa468b

Data as of Jan 17, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, DEBORAH, LYNN

CHIEF EXECUTIVE OFFICER AND BOARD MEMBER

yes

02/2010

Mar 28, 2012

Jan 17, 2018

ELLS, ANDREA, MARIE

PRESIDENT, CHIEF INVESTMENT OFFICER AND BOARD MEMBER

yes

10/2013

Oct 23, 2013

Jan 17, 2018

JONES, DANIEL, NORRIS

VICE PRESIDENT, DIRECTOR OF TAX & FINANCIAL PLANNING, AND BOARD MEMBER

yes

05/2015

May 27, 2015

Jan 17, 2018

LEGGIADRO, WAYNE, PATRICK

BOARD MEMBER

yes

01/2012

Mar 28, 2012

Jan 17, 2018

MAHONEY, BRIAN, WILLIAM

BOARD MEMBER

yes

08/2015

Aug 28, 2015

Jan 17, 2018

NIXON PEABODY LLP

Owner

yes

08/2000

Mar 28, 2012

Jan 17, 2018

PAUL, MARY, MARGARET

SENIOR PLANNER, DIRECTOR OF TAX ADMINISTRATION

yes

01/2015

Feb 4, 2015

Jan 17, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OMNICAP GROUP LLC

n/a

Institutional manager

$6.5B

yes

n/a

NIXON PEABODY LLP

n/a

WATCH POINT TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Washington

United States

Boston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jan 17, 2018

$176M

n/a

2016

Mar 28, 2017

$151M

n/a

2015

Mar 22, 2016

$46.3M

n/a

2014

Feb 4, 2015

$43.1M

n/a

2013

Mar 27, 2014

$36.8M

n/a

2012

Mar 25, 2013

$52.8M

n/a

2011

Mar 28, 2012

$34.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$176M

$151M

17.0%

$43.1M

60.0%

n/a