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

Exeter Advisors, LLC

Former SEC-registered adviserFairport, New YorkCRD 108433SEC 801-57299IAPD
Legal name Exeter Advisors I, LLC
Latest filing May 22, 2014
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$36.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$31.7M as of Mar 28, 2014
Mar 29, 2012$22.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20130 then
Employees (5.A)2 as of Mar 28, 2014
Mar 28, 20133 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 22, 2014; 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
$1.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Reuben B Auspitz · Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • John Christopher Cummings · President / Managing Directorcontrol
        since 10/2011 · owns less than 5%
      • Hendershot Beth Galusha · Treasurercontrol
        since 10/2011 · owns less than 5%
      • Edward James Mikolaichik · Chief Financial Officercontrol
        since 10/2011 · owns less than 5%
      • Butler Richard Yates · Corporate Secretarycontrol
        since 10/2011 · owns less than 5%
      • William Manning · Managing Membercontrol
        since 06/2011 · owns 75% or more of M&N Group Holdings, LLC
      Entity owners
      • Manning & Napier Group, LLC · Managing Member
        direct · owns 75% or more
      • M&N Group Holdings, LLC · Member
        indirect · owns 75% or more of Manning & Napier Group, LLC
      • Manning & Napier, Inc. · Sole Managing Member
        indirect · owns F of Manning & Napier Group, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Exeter Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Dublin, OH
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $31.7M to $36.0M
        Mar 28, 2014 to May 22, 2014
      • RAUM · $31.7M to $36.0M
        Mar 28, 2014 to May 22, 2014
      • Accounts · 34 to 35
        Jan 2, 2014 to Mar 3, 2014
      • Discretionary RAUM · $34.7M to $31.7M
        Jan 2, 2014 to Mar 3, 2014
      • RAUM · $34.7M to $31.7M
        Jan 2, 2014 to Mar 3, 2014
      • Accounts · 32 to 34
        Jun 28, 2013 to Jan 2, 2014
      • Employees · 3 to 2
        Jun 28, 2013 to Jan 2, 2014
      • Discretionary RAUM · $26.7M to $34.7M
        Jun 28, 2013 to Jan 2, 2014
      • RAUM · $26.7M to $34.7M
        Jun 28, 2013 to Jan 2, 2014
      • Related bank · false to true
        Mar 28, 2013 to Jun 28, 2013
      • Accounts · 65 to 32
        Nov 19, 2012 to Mar 28, 2013
      • Advisory employees · 3 to 2
        Nov 19, 2012 to Mar 28, 2013
      • BD registered reps · 0 to 1
        Nov 19, 2012 to Mar 28, 2013
      • Discretionary RAUM · $22.8M to $26.7M
        Nov 19, 2012 to Mar 28, 2013
      • RAUM · $22.8M to $26.7M
        Nov 19, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Sep 27, 2012 to Nov 19, 2012
      • BD registered reps · unset to 0.0
        Sep 27, 2012 to Nov 19, 2012
      • Employees · unset to 3.0
        Sep 27, 2012 to Nov 19, 2012
      • State-registered IARs · unset to 0.0
        Sep 27, 2012 to Nov 19, 2012
      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