DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••• F•••••••• G••••

N•••• A S•••• & ASSOCIATES, LLC, CRD 108120

CORNING, NY

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Search this name across graphsid dfx:ria:ec6a13f9-3384-4883-8653-2f16074ce808

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2012 to Mar 22, 2019
17 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: $239M••• Locked
Discretionary RAUM: $239M
Private client RAUM: $239Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• L••••• S•	MANAGING PARTNER	D	yes	01/2005	Jan 10, 2012	Mar 22, 2019
S••••• N••••• A••	MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER	D	yes	01/2005	Jan 10, 2012	Mar 22, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 28, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$239M	$214M	11.7%	$236M	0.4%	7	7	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••• F•••••••• G••••• L••	3	Mar 22, 2019	May 12, 2021	CORNING, NY	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (2)

← S••••• N••••• A••OwnerMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 10, 2012 to presentfactForm ADV
← S••••• L••••• S•OwnerMANAGING PARTNER, ownership code D, individual
Jan 10, 2012 to presentfactForm ADV

Moved with (1)

→ S•••• F•••••••• G••••• L••Registered adviser4 advisors, firm absorbed, same day
Mar 22, 2019 to May 12, 2021factForm ADV

Registered with (5)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec6a13f9-3384-4883-8653-2f16074ce808
First observed: Jan 10, 2012
Last observed: Mar 22, 2019 91 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.