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.
SEC-registered adviser
Otto & Associates, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 6, 2012 · 27 filings
SEC status approved since Nov 24, 2000
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$286M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$95.5M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$287M as of Mar 26, 2026
Mar 6, 2012$84.6M then
HNW client RAUM$242M as of Mar 26, 2026
Mar 20, 2018$111M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 6, 20120 then
Employees (5.A)6 as of Mar 26, 2026
Mar 4, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $95.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $455,709derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$242M85%
- Individuals$44.1M15%
- Charitable organizations$142,7490.0%
- Individual clients
- 76reported
- HNW clients
- 76reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 629reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David William OttoCertified Financial Planner | Norwich, Vt | Mar 28, 2003 | 41 y | 0 |
| Susan Otto GoodellCertified Financial Planner | Norwich, Vt | Nov 22, 2013 | 17 y | 0 |
| Deborah L MaherCertified Financial Planner | Norwich, Vt | Aug 18, 2021 | 29 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
- Otto Susan Goodell · Chief Executive Officer, President, And Chief Compliance Officercontrolsince 12/2023 · owns 50% to 75%
- William David Otto · Chief Executive Officer Emerituscontrolsince 12/2023 · owns 25% to 50%
- Nmi Elizabeth Otto · Shareholdersince 12/2010 · 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 |
|---|---|---|---|---|---|
| Norwich, Vt · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 605 to 629Mar 18, 2025 to Mar 26, 2026
- HNW clients · 75 to 76Mar 18, 2025 to Mar 26, 2026
- Individual clients · 74 to 76Mar 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $250M to $287MMar 18, 2025 to Mar 26, 2026
- HNW RAUM · $210M to $242MMar 18, 2025 to Mar 26, 2026
- Individual RAUM · $40.1M to $44.1MMar 18, 2025 to Mar 26, 2026
- RAUM · $250M to $287MMar 18, 2025 to Mar 26, 2026
- Accounts · 591 to 605Mar 25, 2024 to Mar 18, 2025
- HNW clients · 68 to 75Mar 25, 2024 to Mar 18, 2025
- Individual clients · 83 to 74Mar 25, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $223M to $250MMar 25, 2024 to Mar 18, 2025
- HNW RAUM · $177M to $210MMar 25, 2024 to Mar 18, 2025
- Individual RAUM · $45.9M to $40.1MMar 25, 2024 to Mar 18, 2025
- RAUM · $223M to $250MMar 25, 2024 to Mar 18, 2025
- Accounts · 579 to 591Jan 16, 2024 to Mar 25, 2024
- HNW clients · 71 to 68Jan 16, 2024 to Mar 25, 2024
- Individual clients · 80 to 83Jan 16, 2024 to Mar 25, 2024
- Discretionary RAUM · $194M to $223MJan 16, 2024 to Mar 25, 2024
- HNW RAUM · $157M to $177MJan 16, 2024 to Mar 25, 2024
- Individual RAUM · $37.6M to $45.9MJan 16, 2024 to Mar 25, 2024
- RAUM · $194M to $223MJan 16, 2024 to Mar 25, 2024
- Accounts · 568 to 579Mar 17, 2022 to Mar 16, 2023
- Advisory activities · 4 to 3Mar 17, 2022 to Mar 16, 2023
- HNW clients · 73 to 71Mar 17, 2022 to Mar 16, 2023
- Individual clients · 74 to 80Mar 17, 2022 to Mar 16, 2023
- Discretionary RAUM · $220M to $194MMar 17, 2022 to Mar 16, 2023
- HNW RAUM · $177M to $157MMar 17, 2022 to Mar 16, 2023
- Individual RAUM · $42.0M to $37.6MMar 17, 2022 to Mar 16, 2023
- RAUM · $220M to $194MMar 17, 2022 to Mar 16, 2023
- Accounts · 564 to 568Aug 17, 2021 to Mar 17, 2022
- HNW clients · 69 to 73Aug 17, 2021 to Mar 17, 2022
- State-registered IARs · 0 to 3Aug 17, 2021 to Mar 17, 2022
- Discretionary RAUM · $188M to $220MAug 17, 2021 to Mar 17, 2022
- HNW RAUM · $147M to $177MAug 17, 2021 to Mar 17, 2022
- Individual RAUM · $39.9M to $42.0MAug 17, 2021 to Mar 17, 2022
- RAUM · $188M to $220MAug 17, 2021 to Mar 17, 2022
- Employees · 5 to 6Mar 24, 2021 to Aug 17, 2021
- HQ city · KATONAH to NORWICHMar 24, 2021 to Aug 17, 2021
- HQ state · NY to VTMar 24, 2021 to Aug 17, 2021
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.
How to reach
public business contact points only, each with its source
- Business phone
- 802-649-1946reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-232-5379reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- OTTOANDASSOCIATES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 802-649-1946reportedpublic record, Form ADV, Mar 26, 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
- $95.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026