DFX Intelligence
RIA Intelligence
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SEC-registered adviser
O•• F•••••••• S••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 16, 2012 · 29 filings
SEC status approved since Apr 23, 1987
RAUM
$328M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$328M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$328M as of Mar 23, 2026
Feb 16, 2012$78.6M then
HNW client RAUM$258M as of Mar 23, 2026
Feb 20, 2018$71.0M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Feb 16, 20120 then
Employees (5.A)7 as of Mar 23, 2026
Feb 21, 20131 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 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
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $488,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 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
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$258M79%
- Individuals$70.6M21%
- Individual clients
- 167reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 672reported
- Financial planning clients
- reported
- 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 |
|---|---|---|---|---|
| C•••••• A•• S••••Chartered Financial Consultant | Dewitt, Ny | Aug 6, 2021 | 44 y | 0 |
| G•••••• W••••• J••••••• | Dewitt, Ny | Aug 6, 2021 | 35 y | 0 |
| B•••• A••••• J••••••• | Dewitt, Ny | Jan 30, 2023 | 9 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
- C•••••• J••••• M•••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- S••••• C••••••• A•• · Presidentcontrolsince 06/1985 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Dewitt, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 585 to 672Mar 28, 2025 to Mar 23, 2026
- HNW clients · 88 to 102Mar 28, 2025 to Mar 23, 2026
- Individual clients · 181 to 167Mar 28, 2025 to Mar 23, 2026
- Discretionary RAUM · $287M to $328MMar 28, 2025 to Mar 23, 2026
- HNW RAUM · $194M to $258MMar 28, 2025 to Mar 23, 2026
- Individual RAUM · $93.3M to $70.6MMar 28, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3,657 to $432,208Mar 28, 2025 to Mar 23, 2026
- RAUM · $287M to $328MMar 28, 2025 to Mar 23, 2026
- Financial planning clients · unset to Feb 10, 2025 to Mar 28, 2025
- Accounts · 542 to 585Oct 4, 2024 to Feb 10, 2025
- HNW clients · 78 to 88Oct 4, 2024 to Feb 10, 2025
- Individual clients · 177 to 181Oct 4, 2024 to Feb 10, 2025
- Discretionary RAUM · $226M to $287MOct 4, 2024 to Feb 10, 2025
- HNW RAUM · $165M to $194MOct 4, 2024 to Feb 10, 2025
- Individual RAUM · $61.1M to $93.3MOct 4, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $3,076 to $3,657Oct 4, 2024 to Feb 10, 2025
- RAUM · $226M to $287MOct 4, 2024 to Feb 10, 2025
- Accounts · 540 to 542Sep 20, 2023 to Mar 4, 2024
- HNW clients · 67 to 78Sep 20, 2023 to Mar 4, 2024
- Individual clients · 181 to 177Sep 20, 2023 to Mar 4, 2024
- Discretionary RAUM · $183M to $226MSep 20, 2023 to Mar 4, 2024
- HNW RAUM · $124M to $165MSep 20, 2023 to Mar 4, 2024
- Individual RAUM · $60.1M to $61.1MSep 20, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $336,632 to $3,076Sep 20, 2023 to Mar 4, 2024
- RAUM · $184M to $226MSep 20, 2023 to Mar 4, 2024
- Employees · 5 to 7Mar 1, 2023 to Jul 5, 2023
- Advisory employees · 2 to 3Feb 23, 2023 to Mar 1, 2023
- Employees · 4 to 5Feb 23, 2023 to Mar 1, 2023
- State-registered IARs · 2 to 3Feb 23, 2023 to Mar 1, 2023
- Accounts · 534 to 540May 25, 2022 to Feb 23, 2023
- HNW clients · 56 to 67May 25, 2022 to Feb 23, 2023
- Individual clients · 196 to 181May 25, 2022 to Feb 23, 2023
- Discretionary RAUM · $225M to $183MMay 25, 2022 to Feb 23, 2023
- HNW RAUM · $116M to $124MMay 25, 2022 to Feb 23, 2023
- Individual RAUM · $109M to $60.1MMay 25, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $0 to $336,632May 25, 2022 to Feb 23, 2023
- RAUM · $225M to $184MMay 25, 2022 to Feb 23, 2023
- Accounts · 512 to 534Mar 8, 2021 to Feb 14, 2022
- HNW clients · 69 to 56Mar 8, 2021 to Feb 14, 2022
- Individual clients · 215 to 196Mar 8, 2021 to Feb 14, 2022
Signals
1 dated events
- Michael James Cullen (Chief Compliance Officer) appeared on Schedule A of O•• F•••••••• S••••••• L••Jul 5, 2023 · Control person joined · 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
- Business phone
- 315-446-5936reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-446-8720reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-373-2037reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.o•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 315-446-8720reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026