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
Capital Financial Services LLC
Latest filing Jan 23, 2023
First filing on the tape Mar 28, 2012 · 16 filings
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$128M as of Jan 18, 2022
Mar 28, 2012$62.6M then
HNW client RAUM$38.5M as of Apr 2, 2020
Mar 29, 2018$29.6M then
State-registered IARs (5.B.3)0 as of Jan 18, 2022
Mar 28, 20120 then
Employees (5.A)5 as of Jan 18, 2022
Mar 26, 20132 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 23, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $263,645derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$128M100%
- Individual clients
- 215reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 484reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- Cherry Gayle Laska to Trillium Wealth LLCDec 31, 2023 · RIA to a newly registered adviser
- Christine Elizabeth Suozzi to Atlas Private Wealth Management, LLCJan 9, 2023 · RIA to RIA
Joined, latest
- Cherry Gayle Laska from Cwm, LLCJan 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- Christine Elizabeth Suozzi from Goldman Sachs Wealth Services, L.P.May 24, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph William Jerome · Chief Compliance Officercontrolsince 01/2023 · owns 75% or more
- Gayle Cherry Laska · Principalcontrolsince 01/2023 · 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 |
|---|---|---|---|---|---|
| Clifton Park, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Dec 1, 2022 to Jan 23, 2023
- Accounts · 462 to 484Mar 25, 2021 to Jan 18, 2022
- Individual clients · 211 to 215Mar 25, 2021 to Jan 18, 2022
- Financial planning clients · 11-25 to 1-10Mar 25, 2021 to Jan 18, 2022
- HQ city · GLENVILLE to CLIFTON PARKMar 25, 2021 to Jan 18, 2022
- Discretionary RAUM · $107M to $128MMar 25, 2021 to Jan 18, 2022
- Individual RAUM · $107M to $128MMar 25, 2021 to Jan 18, 2022
- RAUM · $107M to $128MMar 25, 2021 to Jan 18, 2022
- Accounts · 428 to 462Oct 14, 2020 to Mar 25, 2021
- HNW clients · 42 to 0Oct 14, 2020 to Mar 25, 2021
- Individual clients · 158 to 211Oct 14, 2020 to Mar 25, 2021
- Assets in custody · 96451095.0 to unsetOct 14, 2020 to Mar 25, 2021
- Discretionary RAUM · $96.5M to $107MOct 14, 2020 to Mar 25, 2021
- HNW RAUM · 38475133.0 to unsetOct 14, 2020 to Mar 25, 2021
- Individual RAUM · $58.0M to $107MOct 14, 2020 to Mar 25, 2021
- RAUM · $96.5M to $107MOct 14, 2020 to Mar 25, 2021
- Accounts · 410 to 428Feb 2, 2019 to Apr 2, 2020
- Advisory employees · 2 to 3Feb 2, 2019 to Apr 2, 2020
- HNW clients · 29 to 42Feb 2, 2019 to Apr 2, 2020
- Individual clients · 164 to 158Feb 2, 2019 to Apr 2, 2020
- Assets in custody · $77.9M to $96.5MFeb 2, 2019 to Apr 2, 2020
- Employees · 4 to 5Feb 2, 2019 to Apr 2, 2020
- Discretionary RAUM · $75.7M to $96.5MFeb 2, 2019 to Apr 2, 2020
- HNW RAUM · $38.6M to $38.5MFeb 2, 2019 to Apr 2, 2020
- Individual RAUM · $37.1M to $58.0MFeb 2, 2019 to Apr 2, 2020
- RAUM · $75.7M to $96.5MFeb 2, 2019 to Apr 2, 2020
- Accounts · 399 to 410May 9, 2018 to Feb 2, 2019
- Advisory employees · 1 to 2May 9, 2018 to Feb 2, 2019
- HNW clients · 17 to 29May 9, 2018 to Feb 2, 2019
- Individual clients · 175 to 164May 9, 2018 to Feb 2, 2019
- Discretionary RAUM · $76.1M to $75.7MMay 9, 2018 to Feb 2, 2019
- HNW RAUM · $29.6M to $38.6MMay 9, 2018 to Feb 2, 2019
- Individual RAUM · $46.4M to $37.1MMay 9, 2018 to Feb 2, 2019
- RAUM · $76.1M to $75.7MMay 9, 2018 to Feb 2, 2019
- Assets in custody · unset to 77879897.0Mar 29, 2018 to May 9, 2018
- Accounts · 386 to 399Oct 16, 2017 to Mar 29, 2018
- HNW clients · 0 to 17Oct 16, 2017 to Mar 29, 2018
- Individual clients · 0 to 175Oct 16, 2017 to Mar 29, 2018
- Discretionary RAUM · $58.7M to $76.1MOct 16, 2017 to Mar 29, 2018
- HNW RAUM · unset to 29638765.0Oct 16, 2017 to Mar 29, 2018
Signals
5 dated events
- Cherry Gayle Laska left Capital Financial Services Llc for Trillium Wealth Llc (registered 2026-04-30)Dec 31, 2023 · Advisor changed firm · fact
- Charles William Jerome (Member) no longer on Schedule A of Capital Financial Services Llc (listed 2022-12-01, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Gayle Cherry Laska (Principal) appeared on Schedule A of Capital Financial Services LlcJan 23, 2023 · Control person joined · fact
- Joseph William Jerome (Executive Vice President) appeared on Schedule A of Capital Financial Services LlcJan 23, 2023 · Control person joined · fact
- Christine Elizabeth Suozzi left Capital Financial Services Llc for Atlas Private Wealth Management, Llc (registered 2023-01-10)Jan 9, 2023 · Advisor changed firm · fact
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