DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Howe And Rusling, Inc.
Latest filing Jul 31, 2026
First filing on the tape Mar 29, 2012 · 51 filings
SEC status approved since Jan 3, 1941
RAUM
$2.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$2.3B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
26
17 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$2.4B as of Jul 31, 2026
Mar 29, 2012$665M then
HNW client RAUM$1.9B as of Jul 31, 2026
Mar 19, 2018$660M then
State-registered IARs (5.B.3)10 as of Jul 31, 2026
Mar 28, 20137 then
Employees (5.A)26 as of Jul 31, 2026
Mar 28, 201315 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $716,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $533M, 396 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B76%
- Individuals$399M16%
- Charitable organizations$101M4.1%
- Insurance companies$75.1M3.1%
- Corporations and businesses$7.7M0.3%
- Individual clients
- 743reported
- HNW clients
- 608reported
- Pension plan clients
- 0reported
- Charitable clients
- 37reported
- Accounts
- 3,397reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $533M for 396 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ryan C TomkoCertified Financial Planner | Rochester, Ny | Apr 26, 2021 | 15 y | 0 |
| Dylan M. PotterCertified Financial Planner | Rochester, Ny | Apr 30, 2021 | 16 y | 0 |
| Casey D. Ryan | Rochester, Ny | Jul 9, 2021 | 32 y | 0 |
| Craig Douglas Cairns | Rochester, Ny | Jul 9, 2021 | 29 y | 0 |
| Sarah Potter Swan | Rochester, Ny | Jul 9, 2021 | 15 y | 0 |
| Eric Emerson UdvariCertified Financial Planner | Rochester, Ny | Sep 27, 2021 | 11 y | 2 |
| Michael Joseph CarricoCertified Financial Planner | Colorado Springs, Co | Sep 2, 2022 | 10 y | 2 |
| Elizabeth Megan Hutton | Rochester, Ny | Oct 16, 2023 | 13 y | 0 |
| Mary Grace Graniero | Rochester, Ny | Oct 16, 2023 | 11 y | 0 |
| Jordan Ried EichCertified Financial Planner | Rochester, Ny | Oct 10, 2024 | 11 y | 1 |
| Matthew Gjevre | Boise, Id | Jul 7, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- William Robert Cooper to J.P. Morgan Securities LLCAug 19, 2022 · RIA to wirehouse
- James William Hakewill to Manning & Napier Advisory Advantage Company, LLCJun 22, 2010 · Other
Joined, latest
- Jordan Ried Eich from Manning & Napier Advisors, LLCOct 10, 2024 · RIA to RIA
- Michael Joseph Carrico from Empower Advisory Group, LLCSep 2, 2022 · Affiliated broker-dealer or bank to independent RIA
- Eric Emerson Udvari from Advice And Planning ServicesSep 27, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas Craig Cairns · President, Ceocontrolsince 03/2003 · owns 75% or more
- Therese Emily Lambert · Chief Compliance Officer, Vp Operationscontrolsince 01/2021 · owns less than 5%
- William Brian Lester · Chief Investment Officersince 12/2023 · owns less than 5%
- D. Casey Ryan · Vice Presidentsince 08/2004 · owns 5% to 10%
- Lisa Mary Sisson · Vice Presidentsince 10/2006 · owns less than 5%
Related persons
Schedule D 7.A
- Andrea M. Grayn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 10 | 0 | 0 | ||
| Boise, Id | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boise, ID1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jul 31, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-05-12, yes on the filing of 2026-07-31peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Related insurance company · false to trueMay 12, 2026 to Jul 31, 2026
- Individual clients · 473 to 743Apr 10, 2026 to May 12, 2026
- Accounts · 3,045 to 3,397Dec 16, 2025 to Mar 3, 2026
- Charity clients · 29 to 37Dec 16, 2025 to Mar 3, 2026
- Corporate clients · 4 to 3Dec 16, 2025 to Mar 3, 2026
- HNW clients · 510 to 608Dec 16, 2025 to Mar 3, 2026
- Individual clients · 693 to 473Dec 16, 2025 to Mar 3, 2026
- Pension plan clients · unset to 0.0Dec 16, 2025 to Mar 3, 2026
- Assets in custody · $304M to $533MDec 16, 2025 to Mar 3, 2026
- Employees · 24 to 26Dec 16, 2025 to Mar 3, 2026
- State-registered IARs · 11 to 10Dec 16, 2025 to Mar 3, 2026
- Discretionary RAUM · $2.0B to $2.4BDec 16, 2025 to Mar 3, 2026
- HNW RAUM · $1.5B to $1.9BDec 16, 2025 to Mar 3, 2026
- Individual RAUM · $352M to $399MDec 16, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $53.6M to $52.2MDec 16, 2025 to Mar 3, 2026
- Pension RAUM · $10.3M to $0Dec 16, 2025 to Mar 3, 2026
- RAUM · $2.0B to $2.4BDec 16, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to 101-250Feb 20, 2025 to May 7, 2025
- Accounts · 2,599 to 3,045Oct 3, 2024 to Feb 20, 2025
- Advisory employees · 16 to 17Oct 3, 2024 to Feb 20, 2025
- Charity clients · 19 to 29Oct 3, 2024 to Feb 20, 2025
- Corporate clients · 11 to 4Oct 3, 2024 to Feb 20, 2025
- HNW clients · 446 to 510Oct 3, 2024 to Feb 20, 2025
- Individual clients · 631 to 693Oct 3, 2024 to Feb 20, 2025
- Assets in custody · $245M to $304MOct 3, 2024 to Feb 20, 2025
- Employees · 23 to 24Oct 3, 2024 to Feb 20, 2025
- Financial planning clients · 51-100 to 101-250Oct 3, 2024 to Feb 20, 2025
- State-registered IARs · 10 to 11Oct 3, 2024 to Feb 20, 2025
- Discretionary RAUM · $1.7B to $2.0BOct 3, 2024 to Feb 20, 2025
- HNW RAUM · $1.3B to $1.5BOct 3, 2024 to Feb 20, 2025
- Individual RAUM · $295M to $352MOct 3, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $2.9M to $53.6MOct 3, 2024 to Feb 20, 2025
- Pension RAUM · $13.1M to $10.3MOct 3, 2024 to Feb 20, 2025
- RAUM · $1.7B to $2.0BOct 3, 2024 to Feb 20, 2025
- Accounts · 2,398 to 2,599Dec 1, 2023 to Mar 11, 2024
- Advisory employees · 17 to 16Dec 1, 2023 to Mar 11, 2024
- Charity clients · 20 to 19Dec 1, 2023 to Mar 11, 2024
- Corporate clients · 6 to 11Dec 1, 2023 to Mar 11, 2024
- HNW clients · 401 to 446Dec 1, 2023 to Mar 11, 2024
- Individual clients · 585 to 631Dec 1, 2023 to Mar 11, 2024
Signals
2 dated events
- William Robert Cooper left Howe And Rusling, Inc. for J.P. Morgan Securities Llc (registered 2022-07-08)Aug 19, 2022 · Advisor changed firm · fact
- Therese Emily Lambert (Chief Compliance Officer, Vp Operations) appeared on Schedule A of Howe And Rusling, Inc.Mar 1, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 315-632-6090reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-325-4140reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 208-246-9414reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/howe-&-rusling-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- HOWEANDRUSLING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 585-325-4140reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- howeandrusling.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026