DFX Intelligence
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J•••••••• • C••••••• I•••
Independent wealth manager, based in Dewitt, New York, reporting $1.0B of regulatory assets across 5 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.0B
- Advisors
- 5
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 86% of RAUM, $879M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- accounts (Item 5.F.2.f) 1323Peer median 0.0640686922060766
- Contact points 5
Every filed figure, and the identifiersCRD 107835 · SEC 801-13068 · 40 filingsShowHide
CRD 107835SEC 801-13068Legal name B•••• J• W• • C• I••First filing on the tape Dec 9, 2011, latest Apr 20, 2026SEC status approved since May 9, 1977IAPD
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$879M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.0B as of Apr 20, 2026
Dec 9, 2011$268M then
HNW client RAUM$785M as of Apr 20, 2026
Dec 5, 2017$185M then
State-registered IARs (5.B.3)5 as of Apr 20, 2026
Dec 4, 20120 then
Employees (5.A)8 as of Apr 20, 2026
Dec 4, 20128 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 20, 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
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $776,122derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$785M76%
- Charitable organizations$95.9M9.3%
- Individuals$94.9M9.2%
- Pension and profit-sharing plans$29.4M2.9%
- Corporations and businesses$22.0M2.1%
- Individual clients
- 305reported
- HNW clients
- 267reported
- Pension plan clients
- 13reported
- Charitable clients
- 30reported
- Accounts
- 1,323reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $376,722 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• M•••••Certified Financial Planner | Dewitt, Ny | Jul 10, 2021 | 20 y | 0 |
| P•••• N• B••••••• | Dewitt, Ny | Jul 11, 2021 | 36 y | 0 |
| A••••• J•••• D•••••••••Certified Financial Planner, Chartered Financial Analyst | Dewitt, Ny | Jul 11, 2021 | 12 y | 0 |
| J•••• C• B••••Chartered Financial Analyst | Dewitt, Ny | Jul 20, 2021 | 39 y | 0 |
| E••••• A• G••••• | Dewitt, Ny | Jul 30, 2021 | 27 y | 0 |
| J••• C•••••• Z•••••••• | Dewitt, Ny | Sep 19, 2026 | 11 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
- B•••••••• P••••• N• · Treasurer/Directorcontrolsince 09/1990 · owns less than 5%
- B••••• J••••• C• · Owner/President/Ceo/Director/Chief Compliance Officercontrolsince 12/2012 · owns 75% or more
- D••••••••• A•••••• J•••• · Corporate Secretarycontrolsince 10/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Dewitt, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 20, 2026B••••• J••••• C• (OWNER/PRESIDENT/CEO/DIRECTOR/CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-10-17 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Apr 20, 2026accounts (Item 5.F.2.f) moved from 611.0 to 1,323.0 (+117.0%) between the annual amendments of 2025-02-10 and 2026-04-20; the peer median change was +6.0% (1205 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,205) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 611 to 1,323Feb 10, 2025 to Feb 25, 2026
- Charity clients · 27 to 30Feb 10, 2025 to Feb 25, 2026
- Corporate clients · 17 to 16Feb 10, 2025 to Feb 25, 2026
- HNW clients · 240 to 267Feb 10, 2025 to Feb 25, 2026
- Individual clients · 316 to 305Feb 10, 2025 to Feb 25, 2026
- Pension plan clients · 11 to 13Feb 10, 2025 to Feb 25, 2026
- Discretionary RAUM · $872M to $992MFeb 10, 2025 to Feb 25, 2026
- HNW RAUM · $660M to $785MFeb 10, 2025 to Feb 25, 2026
- Individual RAUM · $102M to $94.9MFeb 10, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $32.2M to $35.0MFeb 10, 2025 to Feb 25, 2026
- Pension RAUM · $29.2M to $29.4MFeb 10, 2025 to Feb 25, 2026
- RAUM · $904M to $1.0BFeb 10, 2025 to Feb 25, 2026
- Wrap assets (manager) · $357,506 to $376,722Feb 10, 2025 to Feb 25, 2026
- Financial planning clients · 26-50 to 26-50Feb 2, 2025 to Feb 10, 2025
- Accounts · 1,270 to 611Oct 1, 2024 to Feb 2, 2025
- Corporate clients · 15 to 17Oct 1, 2024 to Feb 2, 2025
- HNW clients · 195 to 240Oct 1, 2024 to Feb 2, 2025
- Individual clients · 314 to 316Oct 1, 2024 to Feb 2, 2025
- Pension plan clients · 34 to 11Oct 1, 2024 to Feb 2, 2025
- Discretionary RAUM · $774M to $872MOct 1, 2024 to Feb 2, 2025
- HNW RAUM · $586M to $660MOct 1, 2024 to Feb 2, 2025
- Individual RAUM · $78.1M to $102MOct 1, 2024 to Feb 2, 2025
- Non-discretionary RAUM · $28.0M to $32.2MOct 1, 2024 to Feb 2, 2025
- Pension RAUM · $29.9M to $29.2MOct 1, 2024 to Feb 2, 2025
- RAUM · $802M to $904MOct 1, 2024 to Feb 2, 2025
- Wrap assets (manager) · $300,000 to $357,506Oct 1, 2024 to Feb 2, 2025
- Accounts · 1,245 to 1,270Nov 6, 2023 to Mar 2, 2024
- Advisory employees · 6 to 5Nov 6, 2023 to Mar 2, 2024
- Charity clients · 23 to 27Nov 6, 2023 to Mar 2, 2024
- Corporate clients · 25 to 15Nov 6, 2023 to Mar 2, 2024
- HNW clients · 157 to 195Nov 6, 2023 to Mar 2, 2024
- Individual clients · 1,009 to 314Nov 6, 2023 to Mar 2, 2024
- Pension plan clients · 30 to 34Nov 6, 2023 to Mar 2, 2024
- Employees · 9 to 8Nov 6, 2023 to Mar 2, 2024
- Financial planning clients · 11-25 to 26-50Nov 6, 2023 to Mar 2, 2024
- Other offices · 1 to 2Nov 6, 2023 to Mar 2, 2024
- Discretionary RAUM · $676M to $774MNov 6, 2023 to Mar 2, 2024
- HNW RAUM · $348M to $586MNov 6, 2023 to Mar 2, 2024
- Individual RAUM · $250M to $78.1MNov 6, 2023 to Mar 2, 2024
- Non-discretionary RAUM · $24.8M to $28.0MNov 6, 2023 to Mar 2, 2024
Signals
3 dated events
- ••• LockedSep 19, 2026 · Advisor registered · fact
- ••• LockedApr 20, 2026 · ria ownership band change · fact
- ••• LockedOct 17, 2023 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 20, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 20, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished 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
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026