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.

Former SEC-registered adviser

Pageone Financial, Inc.

Former SEC-registered adviserGlens Falls, New YorkCRD 105340SEC 801-28756IAPD
Latest filing Jun 7, 2016
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$60.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$60.0M as of Mar 25, 2016
Mar 30, 2012$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2016
Mar 27, 20133 then
Employees (5.A)1 as of Mar 25, 2016
Mar 27, 20137 then
Private funds: no history
RAUM -58% over the last fiscal year-32% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 7, 2016; every figure names its basis
RAUM per advisor
$60.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$97,245derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
617reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ronald Edgar Page · Chairman/Ceo/Ccocontrol
    since 03/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Pageone Financial, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · MALTA to GLENS FALLS
    Apr 14, 2016 to May 2, 2016
  • Accounts · 1,460 to 617
    Dec 23, 2015 to Mar 25, 2016
  • Advisory employees · 2 to 1
    Dec 23, 2015 to Mar 25, 2016
  • Employees · 3 to 1
    Dec 23, 2015 to Mar 25, 2016
  • Discretionary RAUM · $142M to $60.0M
    Dec 23, 2015 to Mar 25, 2016
  • RAUM · $142M to $60.0M
    Dec 23, 2015 to Mar 25, 2016
  • Accounts · 2,354 to 1,460
    Dec 23, 2014 to Mar 31, 2015
  • Advisory employees · 3 to 2
    Dec 23, 2014 to Mar 31, 2015
  • Employees · 7 to 3
    Dec 23, 2014 to Mar 31, 2015
  • State-registered IARs · 2 to 1
    Dec 23, 2014 to Mar 31, 2015
  • Discretionary RAUM · $215M to $142M
    Dec 23, 2014 to Mar 31, 2015
  • RAUM · $215M to $142M
    Dec 23, 2014 to Mar 31, 2015
  • Advisory employees · 6 to 3
    Oct 1, 2014 to Dec 23, 2014
  • BD registered reps · 1 to 0
    Oct 1, 2014 to Dec 23, 2014
  • Employees · 10 to 7
    Oct 1, 2014 to Dec 23, 2014
  • State-registered IARs · 6 to 2
    Oct 1, 2014 to Dec 23, 2014
  • Accounts · 2,235 to 2,354
    Mar 27, 2013 to Mar 31, 2014
  • Advisory employees · 3 to 6
    Mar 27, 2013 to Mar 31, 2014
  • BD registered reps · 0 to 1
    Mar 27, 2013 to Mar 31, 2014
  • Employees · 7 to 10
    Mar 27, 2013 to Mar 31, 2014
  • State-registered IARs · 3 to 6
    Mar 27, 2013 to Mar 31, 2014
  • Discretionary RAUM · $187M to $215M
    Mar 27, 2013 to Mar 31, 2014
  • RAUM · $187M to $215M
    Mar 27, 2013 to Mar 31, 2014
  • Related adviser · true to false
    Mar 27, 2013 to Mar 31, 2014
  • Accounts · 2,401 to 2,235
    Jan 22, 2013 to Mar 27, 2013
  • Advisory activities · 2 to 1
    Jan 22, 2013 to Mar 27, 2013
  • State-registered IARs · 0 to 3
    Jan 22, 2013 to Mar 27, 2013
  • Discretionary RAUM · $175M to $187M
    Jan 22, 2013 to Mar 27, 2013
  • RAUM · $175M to $187M
    Jan 22, 2013 to Mar 27, 2013
  • Advisory employees · unset to 3.0
    Jul 10, 2012 to Jan 22, 2013
  • Employees · unset to 7.0
    Jul 10, 2012 to Jan 22, 2013
  • State-registered IARs · unset to 0.0
    Jul 10, 2012 to Jan 22, 2013
  • HQ city · TROY to MALTA
    Jun 1, 2012 to Jul 10, 2012
  • Related adviser · false to true
    May 8, 2012 to Jun 1, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026