DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

S•••••• C••••••• L••

CRD 288180

NEW HARTFORD, NY

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Search this name across graphsid dfx:ria:e5316d80-5388-f851-9d85-37c27a67d5d1

Data as of Jan 23, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Mar 26, 2021 to Jan 23, 2024
5 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: $51.0M••• Locked
Discretionary RAUM: $51.0M
Private client RAUM: $50.0Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• R••••••• S••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	03/2017	Mar 26, 2021	Jan 23, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Jan 23, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$51.0M	$55.4M	-8.0%	n/a	n/a	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	2	Jan 29, 2025	Oct 30, 2024	NEW HARTFORD, NY	Team lift out	RIA to ibd	100.0%

Relationships

Controls (1)

← S••••••• R••••••• S••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2021 to presentfactForm ADV

Registered with (2)

← R•••••• S•••• S••••••Advisorregistration: previous registration
Sep 20, 2017 to Jan 29, 2025factForm ADV
← J••••••• M•••• W••••Advisorregistration: previous registration
Sep 21, 2017 to Jan 29, 2025factForm ADV

Moved with (1)

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$51.0M
Occurred
Jan 29, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jan 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 29, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5316d80-5388-f851-9d85-37c27a67d5d1
First observed: Mar 26, 2021
Last observed: Jan 23, 2024 32 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.