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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LIPE & DALTON INVESTMENT COUNSEL

LIPE & DALTON,INC., CRD 132737

SYRACUSE, 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:9d1b78ef-40b1-c28e-93e3-2433aec5f036

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 27, 2012 to Feb 11, 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=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $780MItem 5.F on the latest filing (2026-02-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $780M
Private client RAUM: $741MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $390Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 382
High net worth clients: 376
SEC number: 801-66472
CIK: 1570396
CRD: 132737
Filings on the tape: 27
First filed: Mar 27, 2012
Latest filed: Feb 11, 2026
Organised: Corporation, NY
Website: lipeanddalton.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
WILLARD CHARLES LIPE	Chartered Financial Analyst	SYRACUSE, NY	5	34	n/a	no
PATRICK DALTON	Chartered Financial Analyst	SYRACUSE, NY	5	21	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
DALTON, PATRICK	President	D	yes	08/2004	Mar 27, 2012	Mar 11, 2024
LIPE, WILLARD, CHARLES	CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER	D	yes	08/2004	Mar 27, 2012	Mar 11, 2024

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
BALLINA ADVISORS	n/a	n/a	n/a	N	no	n/a
MCCORMICK CONSULTING	n/a	n/a	n/a	N	no	n/a

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	Feb 11, 2026	$780M	$780M	2	2	0	n/a	n/a
2024	Mar 27, 2025	$691M	$691M	2	2	0	n/a	n/a
2023	Mar 11, 2024	$654M	$654M	2	2	0	n/a	n/a
2022	Feb 21, 2023	$606M	$606M	2	2	0	n/a	n/a
2021	Feb 9, 2022	$657M	$657M	2	2	0	n/a	n/a
2020	Feb 11, 2021	$525M	$525M	2	2	0	n/a	n/a
2019	Feb 13, 2020	$529M	$529M	2	2	0	n/a	n/a
2018	Mar 6, 2019	$413M	$413M	2	2	0	n/a	n/a
2017	Mar 14, 2018	$400M	$400M	2	2	0	n/a	n/a
2016	Mar 9, 2017	$334M	$334M	2	2	n/a	n/a	n/a
2015	Mar 11, 2016	$312M	$312M	2	2	n/a	n/a	n/a
2014	Mar 13, 2015	$292M	$292M	2	2	n/a	n/a	n/a
2013	Mar 13, 2014	$261M	$261M	2	2	n/a	n/a	n/a
2012	Mar 8, 2013	$193M	$193M	2	2	n/a	n/a	n/a
2011	Mar 27, 2012	$151M	$151M	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	$780M	$691M	12.9%	$606M	8.8%	2	2	0	0

Relationships

Registered with (2)

← PATRICK DALTONAdvisorregistration: current employment
Aug 4, 2021 to presentfactForm ADV
← WILLARD CHARLES LIPEAdvisorregistration: current employment
Aug 2, 2021 to presentfactForm ADV

Controls (2)

← DALTON, PATRICKOwnerPRESIDENT, ownership code D, individual
Mar 27, 2012 to Mar 11, 2024factForm ADV
← LIPE, WILLARD, CHARLESOwnerCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 27, 2012 to Mar 11, 2024factForm ADV

Dated events

Occurred
Feb 9, 2022
Regulatory AUM changed
Lipe & Dalton Investment Counsel reported RAUM $656.5M, up 25% from $525.1M (2021-02-11 to 2022-02-09)
Form ADVobserved 6 days ago
$131M
Occurred
Feb 13, 2020
Regulatory AUM changed
Lipe & Dalton Investment Counsel reported RAUM $528.8M, up 28% from $412.6M (2019-08-21 to 2020-02-13)
Form ADVobserved 6 days ago
$116M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d1b78ef-40b1-c28e-93e3-2433aec5f036
First observed: Mar 27, 2012
Last observed: Feb 11, 2026 7 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.

LIPE & DALTON INVESTMENT COUNSEL

LIPE & DALTON,INC., CRD 132737

SYRACUSE, 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:9d1b78ef-40b1-c28e-93e3-2433aec5f036

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLARD CHARLES LIPE

Chartered Financial Analyst

SYRACUSE, NY

n/a

PATRICK DALTON

Chartered Financial Analyst

SYRACUSE, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DALTON, PATRICK

President

yes

08/2004

Mar 27, 2012

Mar 11, 2024

LIPE, WILLARD, CHARLES

CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER

yes

08/2004

Mar 27, 2012

Mar 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BALLINA ADVISORS

n/a

MCCORMICK CONSULTING

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 11, 2026

$780M

n/a

2024

Mar 27, 2025

$691M

n/a

2023

Mar 11, 2024

$654M

n/a

2022

Feb 21, 2023

$606M

n/a

2021

Feb 9, 2022

$657M

n/a

2020

Feb 11, 2021

$525M

n/a

2019

Feb 13, 2020

$529M

n/a

2018

Mar 6, 2019

$413M

n/a

2017

Mar 14, 2018

$400M

n/a

2016

Mar 9, 2017

$334M

n/a

2015

Mar 11, 2016

$312M

n/a

2014

Mar 13, 2015

$292M

n/a

2013

Mar 13, 2014

$261M

n/a

2012

Mar 8, 2013

$193M

n/a

2011

Mar 27, 2012

$151M

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

$780M

$691M

12.9%

$606M

8.8%