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F••••• C••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $170M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$170M
Form ADV
Advisors
0
IAPD
RAUM change, last fiscal year
+7.3%
Form ADV, consecutive annual filings
Private clients
99% of RAUM, $169M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 108891 · SEC 801-121138 · 31 filingsShow
CRD 108891SEC 801-121138First filing on the tape Apr 1, 2014, latest Mar 31, 2026SEC status approved since May 28, 2021IAPD
RAUM
$170M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$169M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$170M as of Mar 31, 2026
Mar 17, 2015$58.6M then
HNW client RAUM$168M as of Mar 31, 2026
Mar 28, 2018$81.4M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 17, 20150 then
Employees (5.A)2 as of Mar 31, 2026
Mar 17, 20152 then
Private funds: no history
RAUM +7.3% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$4.2MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.6%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
+7.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$168M99%
  • Individuals$1.1M0.6%
  • Charitable organizations$1.0M0.6%
Individual clients
5reported
HNW clients
40reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
164reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• H••••••• L••• · Membercontrol
        since 04/2014 · owns 25% to 50%
      • M•••••• J•••• S••••••• · Cco Managing Membercontrol
        since 01/2002 · owns 75% or more
      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
      • Accounts · 166 to 164
        Dec 2, 2025 to Mar 31, 2026
      • Assets in custody · $14.7M to $19.0M
        Dec 2, 2025 to Mar 31, 2026
      • Discretionary RAUM · $156M to $168M
        Dec 2, 2025 to Mar 31, 2026
      • HNW RAUM · $156M to $168M
        Dec 2, 2025 to Mar 31, 2026
      • Individual RAUM · $958,787 to $1.1M
        Dec 2, 2025 to Mar 31, 2026
      Full history · 80 changes
      • Non-discretionary RAUM · $1.8M to $1.8M
        Dec 2, 2025 to Mar 31, 2026
      • RAUM · $158M to $170M
        Dec 2, 2025 to Mar 31, 2026
      • HQ city · SARATOGA SPRINGS to
        Mar 28, 2025 to Dec 2, 2025
      • HQ state · NY to
        Mar 28, 2025 to Dec 2, 2025
      • Accounts · 168 to 166
        Mar 21, 2024 to Mar 28, 2025
      • HNW clients · 43 to 40
        Mar 21, 2024 to Mar 28, 2025
      • Assets in custody · $29.1M to $14.7M
        Mar 21, 2024 to Mar 28, 2025
      • Financial planning clients · 11-25 to 11-25
        Mar 21, 2024 to Mar 28, 2025
      • Discretionary RAUM · $141M to $156M
        Mar 21, 2024 to Mar 28, 2025
      • HNW RAUM · $143M to $156M
        Mar 21, 2024 to Mar 28, 2025
      • Individual RAUM · $926,776 to $958,787
        Mar 21, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $3.4M to $1.8M
        Mar 21, 2024 to Mar 28, 2025
      • RAUM · $145M to $158M
        Mar 21, 2024 to Mar 28, 2025
      • Accounts · 172 to 168
        Mar 29, 2023 to Mar 21, 2024
      • HNW clients · 26 to 43
        Mar 29, 2023 to Mar 21, 2024
      • Assets in custody · unset to 29104881.0
        Mar 29, 2023 to Mar 21, 2024
      • Discretionary RAUM · $90.0M to $141M
        Mar 29, 2023 to Mar 21, 2024
      • HNW RAUM · $93.4M to $143M
        Mar 29, 2023 to Mar 21, 2024
      • Individual RAUM · $850,119 to $926,776
        Mar 29, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · $4.9M to $3.4M
        Mar 29, 2023 to Mar 21, 2024
      • RAUM · $94.9M to $145M
        Mar 29, 2023 to Mar 21, 2024
      • HNW clients · 27 to 26
        Oct 28, 2022 to Mar 29, 2023
      • Discretionary RAUM · $191M to $90.0M
        Oct 28, 2022 to Mar 29, 2023
      • HNW RAUM · $196M to $93.4M
        Oct 28, 2022 to Mar 29, 2023
      • Individual RAUM · $1.1M to $850,119
        Oct 28, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · $7.7M to $4.9M
        Oct 28, 2022 to Mar 29, 2023
      • RAUM · $199M to $94.9M
        Oct 28, 2022 to Mar 29, 2023
      • Accounts · 164 to 172
        May 25, 2021 to Mar 28, 2022
      • Discretionary RAUM · $171M to $191M
        May 25, 2021 to Mar 28, 2022
      • HNW RAUM · $176M to $196M
        May 25, 2021 to Mar 28, 2022
      • Individual RAUM · $969,618 to $1.1M
        May 25, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $6.8M to $7.7M
        May 25, 2021 to Mar 28, 2022
      • RAUM · $178M to $199M
        May 25, 2021 to Mar 28, 2022
      • HQ city · unset to SARATOGA SPRINGS
        Apr 30, 2021 to May 12, 2021
      • HQ state · unset to NY
        Apr 30, 2021 to May 12, 2021
      • Accounts · 165 to 164
        Feb 3, 2021 to Apr 5, 2021
      • HNW clients · 30 to 27
        Feb 3, 2021 to Apr 5, 2021
      • Individual clients · 2 to 5
        Feb 3, 2021 to Apr 5, 2021
      • Assets in custody · 2660527.0 to unset
        Feb 3, 2021 to Apr 5, 2021
      • Custody of client assets · true to false
        Feb 3, 2021 to Apr 5, 2021
      • Employees · 1 to 2
        Feb 3, 2021 to Apr 5, 2021
      • HNW RAUM · $177M to $176M
        Feb 3, 2021 to Apr 5, 2021
      • Individual RAUM · $67,000 to $969,618
        Feb 3, 2021 to Apr 5, 2021
      • Accounts · 162 to 165
        Nov 16, 2020 to Jan 21, 2021
      • Advisory employees · 2 to 1
        Nov 16, 2020 to Jan 21, 2021
      • HNW clients · 22 to 30
        Nov 16, 2020 to Jan 21, 2021
      • Individual clients · 8 to 2
        Nov 16, 2020 to Jan 21, 2021
      • Assets in custody · $1.4M to $2.7M
        Nov 16, 2020 to Jan 21, 2021
      • Employees · 2 to 1
        Nov 16, 2020 to Jan 21, 2021
      • HQ city · NEW YORK to unset
        Nov 16, 2020 to Jan 21, 2021
      • HQ state · NY to unset
        Nov 16, 2020 to Jan 21, 2021
      • Discretionary RAUM · $121M to $171M
        Nov 16, 2020 to Jan 21, 2021
      • HNW RAUM · $101M to $177M
        Nov 16, 2020 to Jan 21, 2021
      • Individual RAUM · $25.0M to $67,000
        Nov 16, 2020 to Jan 21, 2021
      • Non-discretionary RAUM · $6.0M to $6.8M
        Nov 16, 2020 to Jan 21, 2021
      • RAUM · $127M to $178M
        Nov 16, 2020 to Jan 21, 2021
      • Accounts · 165 to 162
        Mar 29, 2019 to Mar 31, 2020
      • Assets in custody · $1.1M to $1.4M
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $103M to $121M
        Mar 29, 2019 to Mar 31, 2020
      • Individual RAUM · $6.6M to $25.0M
        Mar 29, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $5.2M to $6.0M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $108M to $127M
        Mar 29, 2019 to Mar 31, 2020
      • Accounts · 162 to 165
        Mar 28, 2018 to Mar 29, 2019
      • Charity clients · unset to 1.0
        Mar 28, 2018 to Mar 29, 2019
      • HNW clients · 137 to 22
        Mar 28, 2018 to Mar 29, 2019
      • Individual clients · 25 to 8
        Mar 28, 2018 to Mar 29, 2019
      • Assets in custody · unset to 1097057.0
        Mar 28, 2018 to Mar 29, 2019
      • Custody of client assets · false to true
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $82.4M to $103M
        Mar 28, 2018 to Mar 29, 2019
      • HNW RAUM · $81.4M to $101M
        Mar 28, 2018 to Mar 29, 2019
      • Individual RAUM · $5.4M to $6.6M
        Mar 28, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $5.4M to $5.2M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $87.8M to $108M
        Mar 28, 2018 to Mar 29, 2019
      • Accounts · 135 to 162
        Oct 25, 2017 to Mar 28, 2018
      • HNW clients · 20 to 137
        Oct 25, 2017 to Mar 28, 2018
      Signals
      2 dated events
      • ••• Locked
        Mar 29, 2023 · RAUM change · derived
      • ••• Locked
        Apr 1, 2014 · First SEC registration · 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
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.