DFX Intelligence

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

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

A••••••••• R••••••••• S•••••••••

A••••••••• R••••••••• S•••••••••, INC., CRD 132345

QUEENSBURY, NY

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Search this name across graphsid dfx:ria:f11add98-9991-11a0-be61-59f6723014c6

Data as of Oct 25, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Mar 6, 2012 to Oct 25, 2023
24 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: $217M••• Locked
Discretionary RAUM: $213M
Private client RAUM: $217Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• S•••• L••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	10/2001	Mar 6, 2012	Oct 25, 2023
M•••• A•••• M••••••	VICE PRESIDENT	D	yes	10/2021	Jan 27, 2021	Oct 25, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• M••••••••• G••••• L••	n/a	Former SEC adviser	$103M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$217M	$284M	-23.4%	$180M	6.5%	6	7	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	2	Dec 8, 2023	Nov 16, 2023	QUEENSBURY, NY	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (2)

→ W••••• M••••••••• G••••Registered adviserother investment adviser, common control
factForm ADV
← W••••• M••••••••• G••••Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← B•••••• S•••• L••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 6, 2012 to presentfactForm ADV
← M•••• A•••• M••••••Owner

Dated events

Occurred
Dec 8, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Dec 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 27, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f11add98-9991-11a0-be61-59f6723014c6
First observed: Mar 6, 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.