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
Nbt Capital Management, Inc.
Latest filing Jun 4, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Nov 23, 1987
RAUM
$1.6B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
22%
$353M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.6B as of Jun 4, 2026
Mar 30, 2012$125M then
HNW client RAUM$254M as of Jun 4, 2026
Mar 26, 2018$84.0M then
State-registered IARs (5.B.3)8 as of Jun 4, 2026
Mar 30, 20120 then
Employees (5.A)15 as of Jun 4, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +7.6% over the last fiscal year+10.0% a year over threeIARs 8 to 8offices 5 to 4
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $138M, 151 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.3B78%
- High-net-worth individuals$254M16%
- Individuals$99.8M6.2%
- Individual clients
- 310reported
- HNW clients
- 84reported
- Pension plan clients
- 392reported
- Charitable clients
- 0reported
- Accounts
- 1,308reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 151 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Edward Rice | Elberta, Al | Jan 12, 2018 | 25 y | 1 |
| John Constantine Karadenes | Greenfield Center, Ny | Mar 24, 2022 | 26 y | 0 |
| Ann Beatrice MeganCertified Financial Planner | Milwaukee, Wi | Apr 11, 2022 | 18 y | 1 |
| Nancy Dunham Cleveland | Milwaukee, Wi | Apr 11, 2022 | 40 y | 2 |
| Kevin J Nester | Peoria Heights, Il | Feb 28, 2024 | 19 y | 8 |
| Scott Matthew Patton | Peoria Heights, Il | May 23, 2024 | 32 y | 0 |
| Michael Joseph Kiley | Fishers, In | Sep 17, 2024 | 25 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- Brian Anthony Voss to Voss Wealth ManagementMay 29, 2026 · RIA to a newly registered adviser
- Arthur Clifford Laine to Benjamin F. Edwards & Company, IncorporatedSep 18, 2020 · Other
- Amanda Rosplock Campbell to Securian Financial Services, Inc.Feb 27, 2014 · Other
- Thomas Richard Gasper to Trg Capital Management, Inc.Apr 18, 2008 · Other
Joined, latest
- Michael Joseph Kiley from Ascensus Investment Advisors, LLCSep 17, 2024 · Other
- Ann Beatrice Megan from Cleveland Hauswirth Investment Management, Inc.Apr 11, 2022 · Other
- Nancy Dunham Cleveland from Cleveland Hauswirth Investment Management, Inc.Apr 11, 2022 · Other
- Brian Anthony Voss from LPL Financial LLCJun 24, 2020 · Other
- Arthur Clifford Laine from Abg Retirement Plan Investment ServicesApr 9, 2020 · Other
- Kevin J Nester from Abg Retirement Plan Investment ServicesApr 9, 2020 · Other
- John Edward Rice from Newport Group Consulting, LLCJan 12, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cleveland Hauswirth Investment Management, Inc.Apr 29, 2022 · Milwaukee, Wi
- 2 joined from Abg Retirement Plan Investment ServicesApr 2, 2020 · Peoria, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jon Douglas Coggins · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Halley Ruth Mahoney · Chief Executive Officercontrolsince 03/2024 · owns less than 5%
Entity owners
- Nbt Bank, N.A · Sole Stockholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Nbt Bank, N.Ay
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Milwaukee, Wi | 2 | 0 | 0 | ||
| Peoria Heights, Il | 2 | 0 | 0 | ||
| Norwich, Ny · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Peoria, IL3 employees
- Milwaukee, WI2 employees
- Norwich, NY1 employees
- Saratoga Springs, NY1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 4, 2026institutional share of RAUM of 78% against a peer median of 3% (1362 comparable advisers, 100.0th percentile, 18.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 100% percentile
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,494,546,162 to $1,608,495,723, advisors 8 to 8, private clients 593 to 394, offices 5 to 5 (2025-04-23 to 2026-03-27)peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- HQ city · JOHNSON CITY to NORWICHMar 27, 2026 to Jun 4, 2026
- Other offices · 5 to 4Mar 27, 2026 to Jun 4, 2026
- Accounts · 1,384 to 1,308Jun 17, 2025 to Mar 27, 2026
- Advisory employees · 4 to 7Jun 17, 2025 to Mar 27, 2026
- HNW clients · 170 to 84Jun 17, 2025 to Mar 27, 2026
- Individual clients · 423 to 310Jun 17, 2025 to Mar 27, 2026
- Pension plan clients · 346 to 392Jun 17, 2025 to Mar 27, 2026
- Assets in custody · $1.1B to $138MJun 17, 2025 to Mar 27, 2026
- Insurance-licensed employees · 2 to 0Jun 17, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 0Jun 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.2BJun 17, 2025 to Mar 27, 2026
- HNW RAUM · $202M to $254MJun 17, 2025 to Mar 27, 2026
- Individual RAUM · $169M to $99.8MJun 17, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $404M to $366MJun 17, 2025 to Mar 27, 2026
- Pension RAUM · $1.1B to $1.3BJun 17, 2025 to Mar 27, 2026
- RAUM · $1.5B to $1.6BJun 17, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 251-500Apr 23, 2025 to Jun 17, 2025
- Accounts · 1,116 to 1,384Jun 11, 2024 to Apr 23, 2025
- Advisory employees · 8 to 4Jun 11, 2024 to Apr 23, 2025
- BD registered reps · 3 to 2Jun 11, 2024 to Apr 23, 2025
- Charity clients · unset to 0.0Jun 11, 2024 to Apr 23, 2025
- Corporate clients · unset to 0.0Jun 11, 2024 to Apr 23, 2025
- HNW clients · 74 to 170Jun 11, 2024 to Apr 23, 2025
- Individual clients · 183 to 423Jun 11, 2024 to Apr 23, 2025
- Pension plan clients · 343 to 346Jun 11, 2024 to Apr 23, 2025
- Pooled vehicle clients · unset to 0.0Jun 11, 2024 to Apr 23, 2025
- Assets in custody · $1.2B to $1.1BJun 11, 2024 to Apr 23, 2025
- Employees · 17 to 15Jun 11, 2024 to Apr 23, 2025
- Insurance-licensed employees · 3 to 2Jun 11, 2024 to Apr 23, 2025
- Financial planning clients · 101-250 to 251-500Jun 11, 2024 to Apr 23, 2025
- State-registered IARs · 5 to 8Jun 11, 2024 to Apr 23, 2025
- Discretionary RAUM · $937M to $1.1BJun 11, 2024 to Apr 23, 2025
- HNW RAUM · $151M to $202MJun 11, 2024 to Apr 23, 2025
- Individual RAUM · $60.6M to $169MJun 11, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $387M to $404MJun 11, 2024 to Apr 23, 2025
- Pension RAUM · $1.1B to $1.1BJun 11, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 11, 2024 to Apr 23, 2025
- RAUM · $1.3B to $1.5BJun 11, 2024 to Apr 23, 2025
- Accounts · 1,193 to 1,116Aug 10, 2023 to Mar 29, 2024
- HNW clients · 68 to 74Aug 10, 2023 to Mar 29, 2024
Signals
16 dated events
- Brian Anthony Voss left Nbt Capital Management, Inc. for Voss Wealth Management (registered 2026-05-15)May 29, 2026 · Advisor changed firm · fact
- M Todd Wilcox (Chief Compliance Officer) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2023-08-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- S Manuel Orta (Ceo) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2023-08-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Jon Douglas Coggins (Chief Compliance Officer) appeared on Schedule A of Nbt Capital Management, Inc.Mar 29, 2024 · Control person joined · fact
- Halley Ruth Mahoney (Ceo) appeared on Schedule A of Nbt Capital Management, Inc.Mar 29, 2024 · Control person joined · fact
- Nbt Capital Management, Inc. reported RAUM $1.2B, down 30% from $1.7B (2022-10-12 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- 2 advisors left Cleveland Hauswirth Investment Management, Inc. (Milwaukee, WI) for Nbt Capital Management, Inc. on the same dayApr 29, 2022 · Team lift-out · derived
- S Manuel Orta (Ceo) appeared on Schedule A of Nbt Capital Management, Inc.Mar 30, 2021 · Control person joined · fact
- M Todd Wilcox (Chief Compliance Officer) appeared on Schedule A of Nbt Capital Management, Inc.Sep 18, 2020 · Control person joined · fact
- Ann Leona Hoag (Chief Compliance Officer) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2020-05-04, absent 2020-09-18)Sep 18, 2020 · Control person left · inference
- Ogozaly Kathleen Bartlow (Chief Operations Officer) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2020-04-09, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- Nbt Capital Management, Inc. reported RAUM $1.2B, up 611% from $162.9M (2020-04-09 to 2020-04-29)Apr 29, 2020 · RAUM change · derived
- Dale Kenneth Rosplock (President) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2020-04-09, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- Nbt Capital Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 29, 2020 · Succession (Item 4) · fact
- Andrew Brian Voss (Chief Executive Officer) no longer on Schedule A of Nbt Capital Management, Inc. (listed 2020-04-09, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- Andrew Brian Voss (Chief Executive Officer) appeared on Schedule A of Nbt Capital Management, Inc.Mar 26, 2019 · 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
- Website
- nbtcapm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 607-584-4141reportedpublic record, Form ADV, Jun 4, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026