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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

F•••• A••••••••• I••

CRD 107562

TROY, NY

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Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2011 to Mar 9, 2026
35 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=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $941M••• Locked
Discretionary RAUM: $923M
Private client RAUM: $907Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $314Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• P•••••• F••••	n/a	TROY, NY	8	40	1	no
A•••• J••••• F••••	n/a	TROY, NY	5	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• D•••••• P••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER, AND PORTFOLIO MANAGER	E	yes	08/1989	Nov 11, 2011	Jul 24, 2024
F••••• A••••• J•••••	PORTFOLIO MANAGER AND CLIENT ASSOCIATE	B	no	01/2016	Mar 9, 2026	Mar 9, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$941M	$802M	17.4%	$583M	17.3%	7	6	0	0

Relationships

Owns (1)

← F••••• A••••• J•••••OwnerPORTFOLIO MANAGER AND CLIENT ASSOCIATE, ownership code B, individual
Mar 9, 2026 to presentfactForm ADV

Registered with (4)

← D•••••• W•••••• K••••••••Advisorregistration: current employment
Jul 1, 2025 to presentfactForm ADV
← A•••• J••••• F••••Advisorregistration: current employment
Aug 5, 2021 to presentfactForm ADV
← D••••• P•••••• F••••

Dated events

Order

Occurred
10 Oct 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 11, 2011
Last observed: Mar 9, 2026 6 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 2, 2016	$280M	$279M	5	2	n/a	n/a	n/a
2014	Mar 3, 2015	$264M	$264M	5	2	n/a	n/a	n/a
2013	Mar 5, 2014	$227M	$225M	5	2	n/a	n/a	n/a
2012	Mar 11, 2013	$180M	$178M	4	2	n/a	n/a	n/a
2011	Feb 14, 2012	$155M	$154M	n/a	n/a	n/a	n/a	n/a