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.
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SEC-registered adviser
H•• W••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Oct 6, 1995
RAUM
$589M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$510M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$589M as of Mar 18, 2026
Mar 30, 2012$112M then
HNW client RAUM$436M as of Mar 18, 2026
Mar 12, 2018$125M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Mar 18, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +2.6% over the last fiscal year+8.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $691,730derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$436M74%
- Charitable organizations$78.2M13%
- Individuals$73.3M12%
- Corporations and businesses$774,3560.1%
- Individual clients
- 202reported
- HNW clients
- 159reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 851reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• G••• R••••• | Niskayuna, Ny | May 23, 2021 | 16 y | 0 |
| H•••••• F••••••• R••••• I• | Niskayuna, Ny | May 23, 2021 | 14 y | 0 |
| H•••••• F••••••• R••••• | Niskayuna, Ny | May 23, 2021 | 34 y | 0 |
| C••••••••• M•••••• H••••• | Niskayuna, Ny | May 30, 2021 | 29 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• I••• H••••••• F••••••• · President & Chief Compliance Officercontrolsince 09/2004 · owns 75% or more
- R••••• I•• H••••••• F••••••• · Vice Presidentsince 04/2021 · owns less than 5%
- R•••••• M••••••• G••• · Vice President And Chief Technology Officersince 04/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Niskayuna, Ny | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 807 to 851Jun 30, 2025 to Mar 18, 2026
- Charity clients · 8 to 10Jun 30, 2025 to Mar 18, 2026
- HNW clients · 151 to 159Jun 30, 2025 to Mar 18, 2026
- Individual clients · 198 to 202Jun 30, 2025 to Mar 18, 2026
- Discretionary RAUM · $574M to $589MJun 30, 2025 to Mar 18, 2026
- HNW RAUM · $422M to $436MJun 30, 2025 to Mar 18, 2026
- Individual RAUM · $74.6M to $73.3MJun 30, 2025 to Mar 18, 2026
- RAUM · $574M to $589MJun 30, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 20, 2025 to Jun 30, 2025
- Accounts · 744 to 807Nov 22, 2024 to Mar 20, 2025
- Charity clients · 6 to 8Nov 22, 2024 to Mar 20, 2025
- HNW clients · 146 to 151Nov 22, 2024 to Mar 20, 2025
- Individual clients · 172 to 198Nov 22, 2024 to Mar 20, 2025
- HQ city · unset to Nov 22, 2024 to Mar 20, 2025
- HQ state · unset to Nov 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $513M to $574MNov 22, 2024 to Mar 20, 2025
- HNW RAUM · $370M to $422MNov 22, 2024 to Mar 20, 2025
- Individual RAUM · $71.7M to $74.6MNov 22, 2024 to Mar 20, 2025
- RAUM · $513M to $574MNov 22, 2024 to Mar 20, 2025
- Accounts · 706 to 744Feb 20, 2024 to Mar 20, 2024
- HNW clients · 135 to 146Feb 20, 2024 to Mar 20, 2024
- Individual clients · 171 to 172Feb 20, 2024 to Mar 20, 2024
- Discretionary RAUM · $465M to $513MFeb 20, 2024 to Mar 20, 2024
- HNW RAUM · $325M to $370MFeb 20, 2024 to Mar 20, 2024
- Individual RAUM · $68.1M to $71.7MFeb 20, 2024 to Mar 20, 2024
- RAUM · $465M to $513MFeb 20, 2024 to Mar 20, 2024
- Accounts · 683 to 706Nov 3, 2022 to Feb 22, 2023
- Charity clients · unset to 6.0Nov 3, 2022 to Feb 22, 2023
- HNW clients · 148 to 135Nov 3, 2022 to Feb 22, 2023
- Individual clients · 147 to 171Nov 3, 2022 to Feb 22, 2023
- State-registered IARs · 0 to 4Nov 3, 2022 to Feb 22, 2023
- Discretionary RAUM · $506M to $465MNov 3, 2022 to Feb 22, 2023
- HNW RAUM · $360M to $325MNov 3, 2022 to Feb 22, 2023
- Individual RAUM · $58.6M to $68.1MNov 3, 2022 to Feb 22, 2023
- RAUM · $506M to $465MNov 3, 2022 to Feb 22, 2023
- Accounts · 642 to 683Nov 10, 2021 to Mar 12, 2022
- HNW clients · 116 to 148Nov 10, 2021 to Mar 12, 2022
- Individual clients · 159 to 147Nov 10, 2021 to Mar 12, 2022
- Discretionary RAUM · $408M to $506MNov 10, 2021 to Mar 12, 2022
- HNW RAUM · $263M to $360MNov 10, 2021 to Mar 12, 2022
Signals
1 dated events
- H•• I••••••••• A••••••• S••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 6, 2021 · Succession (Item 4) · 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
- Principal office phone
- 518-346-8189reportedpublic record, Form ADV, Mar 18, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026