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

Snow Capital Management, L.P.

Former SEC-registered adviserSewickley, PennsylvaniaCRD 106516SEC 801-37238IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 15, 2012 · 21 filings
RAUM
$770M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$83.5M gross assets
History
21 filings and snapshots on the tape
RAUM$770M as of Mar 30, 2021
Mar 15, 2012$2.8B then
HNW client RAUM$61.0M as of Mar 30, 2021
Mar 30, 2018$172M then
State-registered IARs (5.B.3)11 as of Mar 30, 2021
Mar 15, 201318 then
Employees (5.A)20 as of Mar 30, 2021
Mar 15, 201336 then
Private funds1 as of Mar 30, 2021
Mar 15, 20121 then
RAUM -15% over the last fiscal year-33% a year over threeIARs 13 to 11
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$70.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
-15%derivedItem 5.B.3 between annual amendments
Client growth, one year
-22%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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$250M32%
  • Investment companies$205M27%
  • Individuals$127M16%
  • Pooled investment vehicles$83.5M11%
  • High-net-worth individuals$61.0M7.9%
  • Corporations and businesses$36.4M4.7%
  • Charitable organizations$7.0M0.9%
Individual clients
320reported
HNW clients
19reported
Pension plan clients
9reported
Charitable clients
4reported
Accounts
380reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $114M managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dawn Jessica Leighty · Chief Compliance Officercontrol
      since 09/2015 · owns less than 5%
    • Joshua Schachter · Senior Portfolio Manager/Managing Directorcontrol
      since 01/2012 · owns 10% to 25%
    • Richard Snow · President & Chief Investment Officercontrol
      since 09/2001 · owns less than 5%
    • Carl Vuono · Chief Operating Officercontrol
      since 11/2006 · owns less than 5%
    • Richard Snow · Sole Shareholdercontrol
      since 09/2001 · owns 75% or more of Snow Capital Management, Inc.
    • Charles Rojik · Treasurer/Controller
      since 09/2020 · owns less than 5%
    Entity owners
    • Snow Capital Management Holdings L.P. · Limited Partner
      direct · owns 75% or more
    • Snow Capital Management Inc. · General Partner
      direct · owns less than 5%
    • Snow Capital Management, Inc. · General Partner
      indirect · owns F of Snow Capital Management Holdings, LP
    • Snow Family Partnership · Limited Partner
      indirect · owns 25% to 50% of Snow Capital Mangement Holdings, LP
    Related persons
    Schedule D 7.A
    • Snow Capital Management LLC
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 495 to 380
      Jun 22, 2020 to Mar 30, 2021
    • Advisory employees · 13 to 11
      Jun 22, 2020 to Mar 30, 2021
    • Charity clients · 6 to 4
      Jun 22, 2020 to Mar 30, 2021
    • Corporate clients · 45 to 23
      Jun 22, 2020 to Mar 30, 2021
    • HNW clients · 21 to 19
      Jun 22, 2020 to Mar 30, 2021
    • Individual clients · 415 to 320
      Jun 22, 2020 to Mar 30, 2021
    • Pension plan clients · 0 to 9
      Jun 22, 2020 to Mar 30, 2021
    • Employees · 25 to 20
      Jun 22, 2020 to Mar 30, 2021
    • State-registered IARs · 13 to 11
      Jun 22, 2020 to Mar 30, 2021
    • Discretionary RAUM · $905M to $770M
      Jun 22, 2020 to Mar 30, 2021
    • HNW RAUM · $68.4M to $61.0M
      Jun 22, 2020 to Mar 30, 2021
    • Individual RAUM · $173M to $127M
      Jun 22, 2020 to Mar 30, 2021
    • Pension RAUM · unset to 249971239.0
      Jun 22, 2020 to Mar 30, 2021
    • Pooled vehicle RAUM · $101M to $83.5M
      Jun 22, 2020 to Mar 30, 2021
    • RAUM · $905M to $770M
      Jun 22, 2020 to Mar 30, 2021
    • Wrap assets (manager) · $142M to $114M
      Jun 22, 2020 to Mar 30, 2021
    • Accounts · 771 to 495
      Sep 11, 2019 to Mar 31, 2020
    • Advisory employees · 17 to 13
      Sep 11, 2019 to Mar 31, 2020
    • Advisory activities · 4 to 5
      Sep 11, 2019 to Mar 31, 2020
    • Charity clients · 16 to 6
      Sep 11, 2019 to Mar 31, 2020
    • Corporate clients · 41 to 45
      Sep 11, 2019 to Mar 31, 2020
    • Individual clients · 665 to 415
      Sep 11, 2019 to Mar 31, 2020
    • Pension plan clients · 20 to 0
      Sep 11, 2019 to Mar 31, 2020
    • Employees · 31 to 25
      Sep 11, 2019 to Mar 31, 2020
    • Financial planning clients · 0 to 1-10
      Sep 11, 2019 to Mar 31, 2020
    • State-registered IARs · 17 to 13
      Sep 11, 2019 to Mar 31, 2020
    • Discretionary RAUM · $1.7B to $905M
      Sep 11, 2019 to Mar 31, 2020
    • HNW RAUM · $62.9M to $68.4M
      Sep 11, 2019 to Mar 31, 2020
    • Individual RAUM · $235M to $173M
      Sep 11, 2019 to Mar 31, 2020
    • Pension RAUM · 265526070.0 to unset
      Sep 11, 2019 to Mar 31, 2020
    • Pooled vehicle RAUM · $109M to $101M
      Sep 11, 2019 to Mar 31, 2020
    • RAUM · $1.7B to $905M
      Sep 11, 2019 to Mar 31, 2020
    • Related adviser · true to false
      Sep 11, 2019 to Mar 31, 2020
    • Wrap assets (manager) · $229M to $142M
      Sep 11, 2019 to Mar 31, 2020
    • Accounts · 992 to 771
      Mar 30, 2018 to Mar 29, 2019
    • Advisory employees · 18 to 17
      Mar 30, 2018 to Mar 29, 2019
    • Charity clients · 21 to 16
      Mar 30, 2018 to Mar 29, 2019
    • Corporate clients · 57 to 41
      Mar 30, 2018 to Mar 29, 2019
    • HNW clients · 85 to 21
      Mar 30, 2018 to Mar 29, 2019
    • Individual clients · 782 to 665
      Mar 30, 2018 to Mar 29, 2019
    Signals
    2 dated events
    • Snow Capital Management, L.P. reported RAUM $904.6M, down 47% from $1.7B (2019-09-11 to 2020-03-31)
      Mar 31, 2020 · RAUM change · derived
    • Snow Capital Management, L.P. reported RAUM $1.7B, down 34% from $2.6B (2018-03-30 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    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