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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

D'ARCANGELO FINANCIAL GROUP, LLC

CRD 149613

ROME, 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:eac87ada-3676-1485-cc73-68f15200a4ad

Data as of Nov 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Mar 22, 2012 to Nov 23, 2021
18 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-70094
CRD: 149613
Filings on the tape: 18
First filed: Mar 22, 2012
Latest filed: Nov 23, 2021
Organised: Limited Liability Company, Delaware

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
D'ARCANGELO HOLDING LLC	Member	E	yes	03/2009	Mar 22, 2012	Nov 23, 2021
RITZ, ROBERT, R. (MI ONLY)	MANAGING MEMBER	F	yes	02/2009	Mar 22, 2012	Nov 23, 2021
RITZ, ROBERT, R. (MI ONLY)	VICE PRESIDENT	Na	yes	03/2009	Mar 22, 2012	Nov 23, 2021

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
D'ARCANGELO & COMPANY, LLP	n/a	n/a	n/a	N	yes	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
2020	Mar 26, 2021	$12.9M	$12.9M	4	4	1	n/a	n/a
2019	Mar 30, 2020	$16.6M	$16.6M	4	4	1	n/a	n/a
2018	Mar 25, 2019	$13.4M	$13.4M	5	4	2	n/a	n/a
2017	Mar 22, 2018	$13.5M	$13.5M	5	5	2	n/a	n/a
2016	Mar 28, 2017	$11.0M	$11.0M	5	5	n/a	n/a	n/a
2015	Mar 28, 2016	$9.9M	$9.9M	5	5	n/a	n/a	n/a
2014	Mar 27, 2015	$9.6M	$9.6M	5	5	n/a	n/a	n/a
2013	Mar 19, 2014	$7.8M	$7.8M	5	5	n/a	n/a	n/a
2012	Mar 28, 2013	$5.4M	$5.4M	5	5	n/a	n/a	n/a
2011	Mar 22, 2012	$3.3M	$3.3M	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
2020	n/a	$16.6M	n/a	$13.5M	n/a	1	4	0	1

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
OSAIC WEALTH, INC.	2	Dec 31, 2015	Apr 26, 2021	UTICA, NY	Team lift out	Other	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PARADIGM CONSULTING, INC.	2	Mar 25, 2024	Apr 25, 2014	UTICA, NY	Team lift out	Other	100.0%

Relationships

Controls (2)

← RITZ, ROBERT, R. (MI ONLY)OwnerMANAGING MEMBER, ownership code F, individual
Mar 22, 2012 to presentfactForm ADV
← D'ARCANGELO HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Mar 22, 2012 to presentfactForm ADV

Moved with (2)

→ OSAIC WEALTH, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2015 to Apr 26, 2021factForm ADV
← PARADIGM CONSULTING, INC.Registered adviser2 advisors, team lift out, same day
Mar 25, 2024 to Apr 25, 2014factForm ADV

Registered with (3)

← JANICE POWERS WILLIAMSAdvisorregistration: previous registration
Aug 4, 2014 to Dec 31, 2015factForm ADV
← LAURIE ANN SCHOENAdvisorregistration: previous registration
Apr 25, 2014 to Dec 31, 2015factForm ADV
← AMY LOUISE MIELNICKIAdvisorregistration: previous registration
Apr 25, 2014 to Dec 31, 2015factForm ADV

Dated events

Occurred
Mar 25, 2024
Team lift-out
2 advisors left Paradigm Consulting, Inc. (Utica, NY) for D'Arcangelo Financial Group, LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Oct 1, 2021
Control person left
Ann Laurie Schoen (Member) no longer on Schedule A of D'Arcangelo Financial Group, Llc (listed 2021-03-26, absent 2021-10-01)
Form ADVobserved 6 days ago
Occurred
Oct 1, 2021
Control person left
Louise Amy Mielnicki (Member) no longer on Schedule A of D'Arcangelo Financial Group, Llc (listed 2021-03-26, absent 2021-10-01)
Form ADVobserved 6 days ago
Occurred
Apr 18, 2019
Control person left
Powers Janice Williams (Chief Compliance Officer) no longer on Schedule A of D'Arcangelo Financial Group, Llc (listed 2019-03-25, absent 2019-04-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eac87ada-3676-1485-cc73-68f15200a4ad
First observed: Mar 22, 2012
Last observed: Nov 23, 2021 58 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.

D'ARCANGELO FINANCIAL GROUP, LLC

CRD 149613

ROME, 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:eac87ada-3676-1485-cc73-68f15200a4ad

Data as of Nov 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

D'ARCANGELO HOLDING LLC

Member

yes

03/2009

Mar 22, 2012

Nov 23, 2021

RITZ, ROBERT, R. (MI ONLY)

MANAGING MEMBER

yes

02/2009

Mar 22, 2012

Nov 23, 2021

RITZ, ROBERT, R. (MI ONLY)

VICE PRESIDENT

yes

03/2009

Mar 22, 2012

Nov 23, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

D'ARCANGELO & COMPANY, LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 26, 2021

$12.9M

n/a

2019

Mar 30, 2020

$16.6M

n/a

2018

Mar 25, 2019

$13.4M

n/a

2017

Mar 22, 2018

$13.5M

n/a

2016

Mar 28, 2017

$11.0M

n/a

2015

Mar 28, 2016

$9.9M

n/a

2014

Mar 27, 2015

$9.6M

n/a

2013

Mar 19, 2014

$7.8M

n/a

2012

Mar 28, 2013

$5.4M

n/a

2011

Mar 22, 2012

$3.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

n/a

$16.6M

n/a

$13.5M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Dec 31, 2015

Apr 26, 2021

UTICA, NY

Team lift out

Other

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PARADIGM CONSULTING, INC.

Mar 25, 2024

Apr 25, 2014

UTICA, NY

Team lift out

Other

100.0%