DFX Intelligence

L••• R••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

L••• R••• A•••••••• L••

CRD 281657

CORNING, NY

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Search this name across graphsid dfx:ria:4eb3a00e-7a84-1d38-a812-b5b3e69ec059

Data as of Jan 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 15, 2019 to Jan 21, 2026
19 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=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $98.8M••• Locked
Discretionary RAUM: $91.9M
Private client RAUM: $91.9Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $49.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• V•••••• S••••••••	Certified Financial Planner	CORNING, NY	5	26	n/a	no
H••••• P••••• H••••••	Certified Financial Planner	Ridgefield, WA \| CORNING, NY	4	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• P•••• V••••••	PRESIDENT, CCO & MEMBER	E	yes	01/2016	Aug 15, 2019	Dec 3, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Ithaca	NY	United States	1	no
n/a	n/a	n/a	1	no
Vancouver	Wa	United States	0	no

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	$98.8M	$78.1M	26.5%	$57.5M	19.7%	2	2	3	3

Relationships

Registered with (3)

← H••••• P••••• H••••••Advisorregistration: current employment
Mar 30, 2022 to presentfactForm ADV
← P••• V•••••• S••••••••Advisorregistration: current employment
Nov 4, 2020 to presentfactForm ADV
← K•••• P•••••• B••••Advisorregistration: previous registration
Nov 4, 2020 to Jan 11, 2022factForm ADV

Controls (1)

Dated events

Occurred
Jan 11, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4eb3a00e-7a84-1d38-a812-b5b3e69ec059
First observed: Aug 15, 2019
Last observed: Jan 21, 2026 8 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.