DFX Intelligence

O••••• W••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

O••••• W••••• M••••••••• I•••

CRD 167907

SYRACUSE, NY

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Search this name across graphsid dfx:ria:ee7ad7c4-89c6-0289-7565-d2069de5d568

Data as of Mar 2, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: May 30, 2014 to Mar 2, 2016
11 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: $60.6M••• Locked
Discretionary RAUM: $60.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• T••••• J•••••	PRESIDENT, DIRECTOR	Na	yes	01/2016	May 30, 2014	Mar 2, 2016
C•••••••• B••• S•••••• I•••	Shareholder	E	yes	12/2015	Dec 15, 2015	Mar 2, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••••• A••••••• I•••	n/a	Mixed wealth	$1.4B	N	yes	n/a
B•••••• P•••• A••••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a
C•••••••• B•••• N•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cazenovia	NY	United States	n/a	no
Chittenango	NY	United States	n/a	no
O•••••	NY	United States	n/a	no
O•••••	NY	United States	n/a	no
Rome	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 2, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$60.6M	$46.9M	29.2%	n/a	n/a	19	28	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••• F•••••••• C•••••••••	2	Apr 20, 2016	Apr 22, 2016	SYRACUSE, NY	Team lift out	Other	100.0%

Relationships

Affiliated with (1)

→ N••••••••• A••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← B••••• T••••• J•••••OwnerPRESIDENT, DIRECTOR, ownership code NA, individual
May 30, 2014 to presentfactForm ADV
← J•••••• C•••••• M••••••OwnerDIRECTOR, COO (02/2013), CCO (06/2015) & GSP, ownership code NA, individual
May 30, 2014 to presentfactForm ADV
← D•••••• D••••• F••••••OwnerCFO, ownership code NA, individual

Dated events

Occurred
May 30, 2014
First Form ADV filing
O••••• W••••• M••••••••• Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee7ad7c4-89c6-0289-7565-d2069de5d568
First observed: May 30, 2014
Last observed: Mar 2, 2016 128 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.