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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ETICO WEALTH MANAGEMENT LLC

CRD 151046

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:db2368f3-93e8-26bf-33a4-17cf392feefd

Data as of Oct 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 8
On other graphs: 0
Observed: Feb 2, 2012 to Oct 25, 2023
60 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: $225,507Item 5.F on the latest filing (2023-10-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $225,507derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 2
High net worth clients: 0
SEC number: 801-70445
CRD: 151046
Filings on the tape: 60
First filed: Feb 2, 2012
Latest filed: Oct 25, 2023
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
ETICO FINANCIAL, LLC	Owner	E	yes	01/2018	Oct 25, 2023	Oct 25, 2023
LEO, JOSEPH, ALBERT	CHIEF EXECUTIVE OFFICER	Na	yes	01/2022	Feb 2, 2018	Oct 25, 2023
WEBBER, KYLE, PATRICK	Cco	Na	yes	07/2022	Jul 29, 2022	Oct 25, 2023
LEO, JOSEPH, ALBERT	EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC	C	no	01/2018	Feb 2, 2018	Oct 25, 2023
PTERODACTYL HOLDINGS	EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC	C	no	06/2017	Feb 2, 2018	Oct 25, 2023
WEISMAN, SCOTT, ALAN	EQUITY HOLDER OF PTERODACTYL HOLDINGS	E	no	04/2010	Feb 2, 2018	Oct 25, 2023

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
QUARTZ PARTNERS, LLC	n/a	Independent wealth	$612M	N	yes	n/a
ETICO PARTNERS, LLC	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
Utica	NY	United States	1	yes

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
2022	Mar 29, 2023	$90.6M	$68.7M	11	1	5	n/a	n/a
2021	Mar 17, 2022	$132M	$108M	13	13	6	n/a	n/a
2020	Mar 19, 2021	$123M	$93.1M	12	11	5	n/a	n/a
2019	Mar 20, 2020	$80.0M	$46.6M	13	11	5	n/a	n/a
2018	Mar 4, 2019	$68.1M	$39.2M	13	10	7	n/a	n/a
2017	Mar 26, 2018	$30.3M	$30.3M	10	9	5	n/a	n/a
2016	Mar 10, 2017	$82.2M	$56.2M	15	14	n/a	n/a	n/a
2015	Feb 2, 2016	$65.0M	$46.0M	12	11	n/a	n/a	n/a
2014	Jan 19, 2015	$67.8M	$45.3M	14	9	n/a	n/a	n/a
2013	Mar 14, 2014	$103M	$55.0M	14	11	n/a	n/a	n/a
2012	Mar 8, 2013	$123M	$74.3M	10	9	n/a	n/a	n/a
2011	Feb 2, 2012	$91.7M	$45.6M	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
2022	$225,507	$132M	-99.8%	$80.0M	-85.9%	2	13	1	6

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
QUARTZ PARTNERS INVESTMENT MANAGEMENT	5	Oct 24, 2023	May 3, 2023	SARATOGA SPRINGS, NY	Firm absorbed	RIA to RIA	62.5%
DCM ADVISORS, LLC	2	Jan 24, 2018	Apr 27, 2018	SARATOGA SPRINGS, NY	Team lift out	Other	25.0%

Relationships

Affiliated with (1)

→ QUARTZ PARTNERS INVESTMENT MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Owns (3)

← WEISMAN, SCOTT, ALANOwnerEQUITY HOLDER OF PTERODACTYL HOLDINGS, ownership code E, individual
Feb 2, 2018 to presentfactForm ADV
← LEO, JOSEPH, ALBERTOwnerEQUITY HOLDER OF QUAESTUS HOLDINGS, LLC, ownership code C, individual
Feb 2, 2018 to presentfactForm ADV
← PTERODACTYL HOLDINGSOwnerEQUITY HOLDER OF QUAESTUS HOLDINGS, LLC, ownership code C, domestic entity
Feb 2, 2018 to presentfactForm ADV

Controls (3)

← LEO, JOSEPH, ALBERTOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 2, 2018 to presentfactForm ADV
← WEBBER, KYLE, PATRICKOwnerCCO, ownership code NA, individual
Jul 29, 2022 to presentfactForm ADV
← ETICO FINANCIAL, LLCOwnerOWNER, ownership code E, domestic entity
Oct 25, 2023 to presentfactForm ADV

Registered with (18)

← JOSEPH ALBERT LEOAdvisorregistration: previous registration
May 31, 2021 to Dec 31, 2023factForm ADV
← KYLE PATRICK WEBBERAdvisorregistration: previous registration
Aug 3, 2022 to Dec 31, 2023factForm ADV
← JAMES EDWARD RUTHERFORDAdvisorregistration: previous registration
May 2, 2016 to Oct 25, 2023factForm ADV
← WILLIAM VINCENT CANALEAdvisorregistration: previous registration
May 29, 2012 to Oct 24, 2023factForm ADV
← STEPHEN CHARLES FURNOAdvisorregistration: previous registration
Mar 18, 2010 to Oct 24, 2023factForm ADV
← GEORGE DENNIS LEXAdvisorregistration: previous registration
Jul 1, 2011 to Oct 24, 2023factForm ADV
← MATTHEW ALAN NIGGAdvisorregistration: previous registration
Jan 18, 2011 to Oct 24, 2023factForm ADV
← MARK RANDAL CAMERONAdvisorregistration: previous registration
May 4, 2016 to Oct 24, 2023factForm ADV
← JOSEPH WILLIAM ARENAAdvisorregistration: previous registration
Aug 31, 2022 to Oct 11, 2023factForm ADV
← STEVEN F MINNINGERAdvisorregistration: previous registration
Aug 7, 2018 to Oct 25, 2022factForm ADV
← MATTHEW JAMES LOUGHRENAdvisorregistration: previous registration
Feb 27, 2019 to Jun 27, 2022factForm ADV
← Michael Lawrence PennaAdvisorregistration: previous registration
Aug 4, 2021 to May 9, 2022factForm ADV
← WILLIAM PAUL GAMELLOAdvisorregistration: previous registration
Jul 1, 2015 to Jan 24, 2018factForm ADV
← Manuel NMN ChoyAdvisorregistration: previous registration
Mar 9, 2010 to Jan 24, 2018factForm ADV
← FRANK HENRY CHIAPPONEAdvisorregistration: previous registration
Mar 8, 2012 to Jan 11, 2018factForm ADV
← ANDREW SEBASTIANAdvisorregistration: previous registration
Sep 27, 2012 to Sep 11, 2013factForm ADV
← CARMELO THOMAS NICOLOSIAdvisorregistration: previous registration
Mar 9, 2010 to Aug 3, 2012factForm ADV
← CHRISTOPHER LAWRENCE CLELANDAdvisorregistration: previous registration
Nov 14, 2011 to Nov 16, 2011factForm ADV

Moved with (2)

→ QUARTZ PARTNERS INVESTMENT MANAGEMENTRegistered adviser5 advisors, firm absorbed
Oct 24, 2023 to May 3, 2023factForm ADV
→ DCM ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Jan 24, 2018 to Apr 27, 2018factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor departed, no destination yet
Kyle Patrick Webber no longer registered at Etico Wealth Management Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Oct 24, 2023
Firm absorbed
Etico Wealth Management LLC's advisors moved to Quartz Partners Investment Management (Saratoga Springs, NY): 5 of 8 registered, a day apart
Form ADVobserved 5 days ago
5 advisors
Occurred
Oct 11, 2023
Advisor departed, no destination yet
Joseph William Arena no longer registered at Etico Wealth Management Llc; no later IA registration on IAPD
Form ADVobserved 5 days ago
Occurred
Oct 25, 2022
Advisor changed firm
Steven F Minninger left Etico Wealth Management Llc for William Joseph Capital Management, Inc. (registered 2022-10-27)
Form ADVobserved 5 days ago
Occurred
Jul 29, 2022
Control person left
Wendy-Sue Elliott (Chief Compliance Officer) no longer on Schedule A of Etico Wealth Management Llc (listed 2022-05-18, absent 2022-07-29)
Form ADVobserved 5 days ago
Occurred
Jul 29, 2022
Control person joined
Patrick Kyle Webber (Cco) appeared on Schedule A of Etico Wealth Management Llc
Form ADVobserved 5 days ago
Occurred
Jun 27, 2022
Advisor changed firm
Matthew James Loughren left Etico Wealth Management Llc for Vanguard Advisers, Inc. (registered 2022-07-19)
Form ADVobserved 5 days ago
Occurred
May 9, 2022
Advisor changed firm
Michael Lawrence Penna left Etico Wealth Management Llc for Goldman Sachs Wealth Services, L.P. (registered 2023-07-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db2368f3-93e8-26bf-33a4-17cf392feefd
First observed: Feb 2, 2012
Last observed: Oct 25, 2023 35 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.

ETICO WEALTH MANAGEMENT LLC

CRD 151046

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:db2368f3-93e8-26bf-33a4-17cf392feefd

Data as of Oct 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ETICO FINANCIAL, LLC

Owner

yes

01/2018

Oct 25, 2023

LEO, JOSEPH, ALBERT

CHIEF EXECUTIVE OFFICER

yes

01/2022

Feb 2, 2018

Oct 25, 2023

WEBBER, KYLE, PATRICK

Cco

yes

07/2022

Jul 29, 2022

Oct 25, 2023

LEO, JOSEPH, ALBERT

EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC

01/2018

Feb 2, 2018

Oct 25, 2023

PTERODACTYL HOLDINGS

EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC

06/2017

Feb 2, 2018

Oct 25, 2023

WEISMAN, SCOTT, ALAN

EQUITY HOLDER OF PTERODACTYL HOLDINGS

04/2010

Feb 2, 2018

Oct 25, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

QUARTZ PARTNERS, LLC

n/a

Independent wealth

$612M

yes

n/a

ETICO PARTNERS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Utica

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 29, 2023

$90.6M

$68.7M

n/a

2021

Mar 17, 2022

$132M

$108M

n/a

2020

Mar 19, 2021

$123M

$93.1M

n/a

2019

Mar 20, 2020

$80.0M

$46.6M

n/a

2018

Mar 4, 2019

$68.1M

$39.2M

n/a

2017

Mar 26, 2018

$30.3M

n/a

2016

Mar 10, 2017

$82.2M

$56.2M

n/a

2015

Feb 2, 2016

$65.0M

$46.0M

n/a

2014

Jan 19, 2015

$67.8M

$45.3M

n/a

2013

Mar 14, 2014

$103M

$55.0M

n/a

2012

Mar 8, 2013

$123M

$74.3M

n/a

2011

Feb 2, 2012

$91.7M

$45.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$225,507

$132M

-99.8%

$80.0M

-85.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Oct 24, 2023

May 3, 2023

SARATOGA SPRINGS, NY

Firm absorbed

RIA to RIA

62.5%

DCM ADVISORS, LLC

Jan 24, 2018

Apr 27, 2018

SARATOGA SPRINGS, NY

Team lift out

Other

25.0%