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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CONTINUUM WEALTH ADVISORS, LLC

CRD 152895

SARATOGA SPRINGS, 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:befa2ed7-d602-22d6-1b50-2982c396ff24

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Feb 8, 2012 to Jul 15, 2026
37 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $346MItem 5.F on the latest filing (2026-07-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $338M
Private client RAUM: $338MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $57.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 872
Individual clients: 224
High net worth clients: 104
SEC number: 801-71245
CRD: 152895
Filings on the tape: 37
First filed: Feb 8, 2012
Latest filed: Jul 15, 2026
Organised: Limited Liability Company, NY

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
TIMOTHY MICHAEL SMITH	n/a	SARATOGA SPRINGS, NY \| VENICE, FL	8	26	n/a	no
DAVID JONATHAN RATH	Chartered Financial Analyst	SARATOGA SPRINGS, NY	5	20	1	no
JENNIFER LINDSAY HENRY	n/a	SARATOGA SPRINGS, NY	5	29	n/a	no
Benjamin Michael Guerin	n/a	SARATOGA SPRINGS, NY	1	12	n/a	no
Patrick William Kalish	Certified Financial Planner	SARATOGA SPRINGS, NY	1	10	1	no
ANDREW HEUSS	n/a	SARATOGA SPRINGS, NY \| Minnetonka, MN	0	11	4	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
HENRY, JENNIFER, LINDSAY	CHIEF COMPLIANCE OFFICER	Na	yes	09/2024	Oct 9, 2024	Oct 29, 2024
RATH, DAVID, JONATHAN	CHIEF INVESTMENT OFFICER	B	yes	04/2023	Mar 21, 2024	Oct 29, 2024
SMITH, TIMOTHY, MICHAEL	CEO / MEMBER	E	yes	02/2010	Feb 8, 2012	Oct 29, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	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
2025	Mar 11, 2026	$346M	$338M	7	5	1	n/a	n/a
2024	Feb 13, 2025	$254M	$248M	5	4	1	n/a	n/a
2023	Mar 21, 2024	$207M	$202M	5	4	0	n/a	n/a
2022	Mar 20, 2023	$169M	$166M	5	4	0	n/a	n/a
2021	Feb 16, 2022	$183M	$178M	5	4	0	n/a	n/a
2020	Mar 2, 2021	$145M	$143M	4	4	0	n/a	n/a
2019	Mar 19, 2020	$132M	$129M	4	3	0	n/a	n/a
2018	Mar 11, 2019	$112M	$110M	5	3	0	n/a	n/a
2017	Feb 23, 2018	$172M	$109M	4	2	0	n/a	n/a
2016	Mar 1, 2017	$148M	$85.2M	4	2	n/a	n/a	n/a
2015	Jan 12, 2016	$126M	$68.0M	5	3	n/a	n/a	n/a
2014	Jan 30, 2015	$117M	$63.9M	4	2	n/a	n/a	n/a
2013	Feb 25, 2014	$105M	$56.4M	4	2	n/a	n/a	n/a
2012	Feb 26, 2013	$89.8M	$48.5M	4	3	n/a	n/a	n/a
2011	Feb 8, 2012	$85.2M	$53.2M	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
1	0	1	0.0%	0	0	0	2	1

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	$346M	$254M	35.9%	$169M	26.9%	7	5	1	1

Relationships

Registered with (9)

← ANDREW HEUSSAdvisorregistration: current employment
Jan 27, 2026 to presentfactForm ADV
← Patrick William KalishAdvisorregistration: current employment
Feb 4, 2025 to presentfactForm ADV
← Benjamin Michael GuerinAdvisorregistration: current employment
Oct 28, 2024 to presentfactForm ADV
← JENNIFER LINDSAY HENRYAdvisorregistration: current employment
Jul 29, 2021 to presentfactForm ADV
← DAVID JONATHAN RATHAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← TIMOTHY MICHAEL SMITHAdvisorregistration: current employment
Feb 24, 2018 to presentfactForm ADV
← James Thomas CoxAdvisorregistration: previous registration
Mar 13, 2023 to Jul 1, 2024factForm ADV
← STEPHEN MICHAEL CUTTING-MILLERAdvisorregistration: previous registration
Sep 3, 2021 to Feb 7, 2022factForm ADV
← CHARLES JEROME MOPSIKAdvisorregistration: previous registration
Dec 13, 2018 to Jan 29, 2021factForm ADV

Controls (3)

← SMITH, TIMOTHY, MICHAELOwnerCEO / MEMBER, ownership code E, individual
Feb 8, 2012 to Oct 29, 2024factForm ADV
← HENRY, JENNIFER, LINDSAYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 9, 2024 to Oct 29, 2024factForm ADV
← RATH, DAVID, JONATHANOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 21, 2024 to Oct 29, 2024factForm ADV

Dated events

Occurred
Oct 9, 2024
Control person joined
Lindsay Jennifer Henry (Chief Compliance Officer) appeared on Schedule A of Continuum Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jul 1, 2024
Advisor changed firm
James Thomas Cox left Continuum Wealth Advisors, Llc for Peak Wealth Management (registered 2024-08-22)
Form ADVobserved 5 days ago
Occurred
Mar 21, 2024
Control person joined
Jonathan David Rath (Chief Investment Officer) appeared on Schedule A of Continuum Wealth Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Feb 7, 2022
Advisor changed firm
Stephen Michael Cutting-Miller left Continuum Wealth Advisors, Llc for Shade Tree Advisors Llc (registered 2022-03-08)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:befa2ed7-d602-22d6-1b50-2982c396ff24
First observed: Feb 8, 2012
Last observed: Jul 15, 2026 2 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.

CONTINUUM WEALTH ADVISORS, LLC

CRD 152895

SARATOGA SPRINGS, 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:befa2ed7-d602-22d6-1b50-2982c396ff24

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TIMOTHY MICHAEL SMITH

n/a

SARATOGA SPRINGS, NY | VENICE, FL

n/a

DAVID JONATHAN RATH

Chartered Financial Analyst

SARATOGA SPRINGS, NY

JENNIFER LINDSAY HENRY

n/a

SARATOGA SPRINGS, NY

n/a

Benjamin Michael Guerin

n/a

SARATOGA SPRINGS, NY

n/a

Patrick William Kalish

Certified Financial Planner

SARATOGA SPRINGS, NY

ANDREW HEUSS

n/a

SARATOGA SPRINGS, NY | Minnetonka, MN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HENRY, JENNIFER, LINDSAY

CHIEF COMPLIANCE OFFICER

yes

09/2024

Oct 9, 2024

Oct 29, 2024

RATH, DAVID, JONATHAN

CHIEF INVESTMENT OFFICER

yes

04/2023

Mar 21, 2024

Oct 29, 2024

SMITH, TIMOTHY, MICHAEL

CEO / MEMBER

yes

02/2010

Feb 8, 2012

Oct 29, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 11, 2026

$346M

$338M

n/a

2024

Feb 13, 2025

$254M

$248M

n/a

2023

Mar 21, 2024

$207M

$202M

n/a

2022

Mar 20, 2023

$169M

$166M

n/a

2021

Feb 16, 2022

$183M

$178M

n/a

2020

Mar 2, 2021

$145M

$143M

n/a

2019

Mar 19, 2020

$132M

$129M

n/a

2018

Mar 11, 2019

$112M

$110M

n/a

2017

Feb 23, 2018

$172M

$109M

n/a

2016

Mar 1, 2017

$148M

$85.2M

n/a

2015

Jan 12, 2016

$126M

$68.0M

n/a

2014

Jan 30, 2015

$117M

$63.9M

n/a

2013

Feb 25, 2014

$105M

$56.4M

n/a

2012

Feb 26, 2013

$89.8M

$48.5M

n/a

2011

Feb 8, 2012

$85.2M

$53.2M

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

$346M

$254M

35.9%

$169M

26.9%