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

Socha Financial Group

Former SEC-registered adviserCorning, New YorkCRD 108120SEC 801-55938IAPD
Legal name Nancy A Socha & Associates, LLC
Latest filing Mar 22, 2019
First filing on the tape Jan 10, 2012 · 17 filings
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$239M as of Mar 28, 2018
Jan 10, 2012$168M then
HNW client RAUM: $149M
State-registered IARs (5.B.3)6 as of Mar 28, 2018
Jan 10, 20120 then
Employees (5.A)7 as of Mar 28, 2018
Mar 14, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+0.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
RAUM per advisor
$39.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
118derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$834,997derivedHNW RAUM over HNW clients
Average account
$338,380derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$149M63%
  • Individuals$89.4M37%
Individual clients
527reported
HNW clients
179reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
706reported
Financial planning clients
251-500reported
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
Joined, latest
none on the tape
    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
      • S Louis Socha · Managing Partnercontrol
        since 01/2005 · owns 50% to 75%
      • Ann Nancy Socha · Managing Partner And Chief Compliance Officercontrol
        since 01/2005 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 3355037.0 to unset
        Jan 2, 2019 to Mar 22, 2019
      • Custody of client assets · true to false
        Jan 2, 2019 to Mar 22, 2019
      • Accounts · 1,391 to 706
        Mar 21, 2017 to Mar 28, 2018
      • Advisory employees · 3 to 7
        Mar 21, 2017 to Mar 28, 2018
      • Advisory activities · 4 to 3
        Mar 21, 2017 to Mar 28, 2018
      • HNW clients · unset to 179.0
        Mar 21, 2017 to Mar 28, 2018
      • Individual clients · unset to 527.0
        Mar 21, 2017 to Mar 28, 2018
      • Assets in custody · unset to 3355037.0
        Mar 21, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 21, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 28, 2018
      • Discretionary RAUM · $214M to $239M
        Mar 21, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 149464471.0
        Mar 21, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 89431831.0
        Mar 21, 2017 to Mar 28, 2018
      • RAUM · $214M to $239M
        Mar 21, 2017 to Mar 28, 2018
      • Accounts · 1,500 to 1,391
        Mar 30, 2016 to Mar 21, 2017
      • State-registered IARs · 5 to 6
        Mar 30, 2016 to Mar 21, 2017
      • Discretionary RAUM · $220M to $214M
        Mar 30, 2016 to Mar 21, 2017
      • RAUM · $220M to $214M
        Mar 30, 2016 to Mar 21, 2017
      • Accounts · 605 to 1,500
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 6 to 7
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $236M to $220M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $236M to $220M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 639 to 605
        Oct 13, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 2 to 0
        Oct 13, 2014 to Mar 31, 2015
      • State-registered IARs · 3 to 5
        Oct 13, 2014 to Mar 31, 2015
      • Discretionary RAUM · $196M to $236M
        Oct 13, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $980,940 to $0
        Oct 13, 2014 to Mar 31, 2015
      • RAUM · $197M to $236M
        Oct 13, 2014 to Mar 31, 2015
      • Employees · 4 to 6
        Jun 2, 2014 to Oct 10, 2014
      • Advisory employees · 2 to 3
        Mar 31, 2014 to Jun 2, 2014
      • Business name · NANCY A SOCHA & ASSOCIATES, LLC to SOCHA FINANCIAL GROUP
        Mar 31, 2014 to Jun 2, 2014
      • Employees · 5 to 4
        Mar 31, 2014 to Jun 2, 2014
      • Accounts · 1,288 to 639
        Mar 14, 2013 to Mar 31, 2014
      • Employees · 6 to 5
        Mar 14, 2013 to Mar 31, 2014
      • Discretionary RAUM · $165M to $196M
        Mar 14, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $2.1M to $980,940
        Mar 14, 2013 to Mar 31, 2014
      • RAUM · $167M to $197M
        Mar 14, 2013 to Mar 31, 2014
      • Accounts · 1,345 to 1,288
        Jan 10, 2012 to Mar 14, 2013
      • Advisory employees · unset to 2.0
        Jan 10, 2012 to Mar 14, 2013
      • Employees · unset to 6.0
        Jan 10, 2012 to Mar 14, 2013
      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