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V•••••••• A••••••• S••••••• I••

Independent wealth managerSEC-registered· Elmira, New Yorkwebsite

Independent wealth manager, based in Elmira, New York, reporting $820M of regulatory assets across 4 registered advisors.

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

As of 2026-09-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $820M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +17%
Private clients: 85%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-09-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+16.9%
RAUM, one year
RAUM $701M to $820M (+16.9%) on the Form ADV filed 16 Sep 2026, while advisors on the filing rose 3 to 4 and offices fell 2 to 1.
The filed advisor count fell, but the IAPD registrations show net 0 in 12 months; the two sources disagree, so read the filing before reading departures into it.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 110669 · SEC 801-19249 · 34 filingsShow

CRD 110669SEC 801-19249First filing on the tape Dec 16, 2011, latest Sep 16, 2026SEC status approved since Jul 6, 1983IAPD

RAUM

$820M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

85%

$697M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$205M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

34 filings and snapshots on the tape

RAUM +18% a year over three years · the tape starts Dec 16, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$820M as of Mar 12, 2026

Dec 16, 2011$281M then

HNW client RAUM$410M as of Mar 12, 2026

Mar 26, 2018$216M then

State-registered IARs (5.B.3)4 as of Mar 12, 2026

Mar 27, 20130 then

Employees (5.A)11 as of Mar 12, 2026

Mar 27, 201311 then

Private funds: no history

RAUM +17% over the last fiscal year+18% a year over threeIARs 3 to 4offices 2 to 1

Practice profile

derived from the filing of Sep 16, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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

RAUM per advisor: $205MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 220derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $791,503derivedHNW RAUM over HNW clients
Average account: $411,645derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.8derivedItem 5.A over advisors
Advisors per office: 2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.1%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $290M, 265 clientsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
a related person has custody of client cash (9.B.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

50% high-net-worth individuals, 35% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$410M50%
Individuals$287M35%
Charitable organizations$82.0M10.0%
Corporations and businesses$41.0M5.0%

Individual clients: 362reported
HNW clients: 518reported
Pension plan clients: 0reported
Charitable clients: 104reported
Accounts: 1,992reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $290M for 265 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 85% private clients, 0% pooled funds, 10% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
L•••• F•••••••• R••••	Elmira, Ny	Aug 3, 2021	10 y
J••••• M•••••• V••••••••	Elmira, Ny	Aug 3, 2021	17 y
J•••••• S•••• N•••••	Elmira, Ny	Aug 3, 2021	21 y
A••••• S• C•••••••••	Elmira, Ny	Aug 28, 2025	16 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••••• J••••••• S•••• · Executive Vice President Cfo Chief Compliance Officercontrol
since 05/2005 · owns 50% to 75%
V••••••••• J•••••• M•••••• · President Ceo Coo Chairman Of The Boardcontrol
since 12/2008 · owns 50% to 75%
R••••••• R••••• H•••• · Vice President
since 10/1996 · owns less than 5%

Related persons

Schedule D 7.A

V•••••••• I•••••••• S•••••••• I•••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Elmira, Ny · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

Corning, NY3 employees
Elmira, NY3 employees

What changed

consecutive filings, newest first

Financial planning clients · 26-50 to 26-50
Mar 12, 2026 to Sep 16, 2026
Succession · false to unset
Mar 12, 2026 to Sep 16, 2026
Accounts · 1,962 to 1,992
Aug 5, 2025 to Mar 12, 2026
Charity clients · 102 to 104
Aug 5, 2025 to Mar 12, 2026
Corporate clients · 51 to 52
Aug 5, 2025 to Mar 12, 2026

Full history · 80 changes

HNW clients · 512 to 518
Aug 5, 2025 to Mar 12, 2026
Individual clients · 358 to 362
Aug 5, 2025 to Mar 12, 2026
Assets in custody · $246M to $290M
Aug 5, 2025 to Mar 12, 2026
State-registered IARs · 3 to 4
Aug 5, 2025 to Mar 12, 2026
Discretionary RAUM · $695M to $814M
Aug 5, 2025 to Mar 12, 2026
HNW RAUM · $351M to $410M
Aug 5, 2025 to Mar 12, 2026
Individual RAUM · $245M to $287M
Aug 5, 2025 to Mar 12, 2026
Non-discretionary RAUM · $6.2M to $6.1M
Aug 5, 2025 to Mar 12, 2026
RAUM · $701M to $820M
Aug 5, 2025 to Mar 12, 2026
Financial planning clients · 26-50 to 26-50
Feb 18, 2025 to Jul 1, 2025
Other offices · 2 to 1
Feb 18, 2025 to Jul 1, 2025
Accounts · 1,920 to 1,962
Dec 10, 2024 to Feb 18, 2025
Advisory employees · 6 to 7
Dec 10, 2024 to Feb 18, 2025
Charity clients · 99 to 102
Dec 10, 2024 to Feb 18, 2025
Corporate clients · 50 to 51
Dec 10, 2024 to Feb 18, 2025
HNW clients · 496 to 512
Dec 10, 2024 to Feb 18, 2025
Individual clients · 347 to 358
Dec 10, 2024 to Feb 18, 2025
Assets in custody · $227M to $246M
Dec 10, 2024 to Feb 18, 2025
Employees · 10 to 11
Dec 10, 2024 to Feb 18, 2025
Discretionary RAUM · $651M to $695M
Dec 10, 2024 to Feb 18, 2025
HNW RAUM · $330M to $351M
Dec 10, 2024 to Feb 18, 2025
Individual RAUM · $231M to $245M
Dec 10, 2024 to Feb 18, 2025
Non-discretionary RAUM · $9.3M to $6.2M
Dec 10, 2024 to Feb 18, 2025
RAUM · $660M to $701M
Dec 10, 2024 to Feb 18, 2025
Accounts · 1,865 to 1,920
Mar 16, 2023 to Mar 14, 2024
Charity clients · 94 to 99
Mar 16, 2023 to Mar 14, 2024
Corporate clients · 47 to 50
Mar 16, 2023 to Mar 14, 2024
HNW clients · 484 to 496
Mar 16, 2023 to Mar 14, 2024
Individual clients · 339 to 347
Mar 16, 2023 to Mar 14, 2024
Assets in custody · $173M to $227M
Mar 16, 2023 to Mar 14, 2024
Discretionary RAUM · $493M to $651M
Mar 16, 2023 to Mar 14, 2024
HNW RAUM · $251M to $330M
Mar 16, 2023 to Mar 14, 2024
Individual RAUM · $176M to $231M
Mar 16, 2023 to Mar 14, 2024
Non-discretionary RAUM · $9.7M to $9.3M
Mar 16, 2023 to Mar 14, 2024
RAUM · $502M to $660M
Mar 16, 2023 to Mar 14, 2024
Accounts · 1,821 to 1,865
Nov 1, 2022 to Mar 16, 2023
HNW clients · 469 to 484
Nov 1, 2022 to Mar 16, 2023
Individual clients · 328 to 339
Nov 1, 2022 to Mar 16, 2023
Discretionary RAUM · $587M to $493M
Nov 1, 2022 to Mar 16, 2023
HNW RAUM · $299M to $251M
Nov 1, 2022 to Mar 16, 2023
Individual RAUM · $209M to $176M
Nov 1, 2022 to Mar 16, 2023
Non-discretionary RAUM · $10.2M to $9.7M
Nov 1, 2022 to Mar 16, 2023
RAUM · $597M to $502M
Nov 1, 2022 to Mar 16, 2023
Accounts · 1,771 to 1,821
Sep 20, 2021 to Mar 16, 2022
Advisory employees · 5 to 6
Sep 20, 2021 to Mar 16, 2022
Charity clients · 90 to 94
Sep 20, 2021 to Mar 16, 2022
Corporate clients · 45 to 47
Sep 20, 2021 to Mar 16, 2022
HNW clients · 450 to 469
Sep 20, 2021 to Mar 16, 2022
Individual clients · 315 to 328
Sep 20, 2021 to Mar 16, 2022
Assets in custody · $161M to $173M
Sep 20, 2021 to Mar 16, 2022
Discretionary RAUM · $531M to $587M
Sep 20, 2021 to Mar 16, 2022
HNW RAUM · $270M to $299M
Sep 20, 2021 to Mar 16, 2022
Individual RAUM · $189M to $209M
Sep 20, 2021 to Mar 16, 2022
Non-discretionary RAUM · $9.0M to $10.2M
Sep 20, 2021 to Mar 16, 2022
RAUM · $540M to $597M
Sep 20, 2021 to Mar 16, 2022
Related insurance company · true to false
Mar 9, 2021 to Aug 12, 2021
Accounts · 1,796 to 1,771
Jun 17, 2020 to Mar 9, 2021
Advisory employees · 6 to 5
Jun 17, 2020 to Mar 9, 2021
Charity clients · 92 to 90
Jun 17, 2020 to Mar 9, 2021
Corporate clients · 46 to 45
Jun 17, 2020 to Mar 9, 2021
HNW clients · 459 to 450
Jun 17, 2020 to Mar 9, 2021
Individual clients · 321 to 315
Jun 17, 2020 to Mar 9, 2021
Assets in custody · $160M to $161M
Jun 17, 2020 to Mar 9, 2021
Employees · 9 to 10
Jun 17, 2020 to Mar 9, 2021
State-registered IARs · 0 to 3
Jun 17, 2020 to Mar 9, 2021
Discretionary RAUM · $478M to $531M
Jun 17, 2020 to Mar 9, 2021
HNW RAUM · $244M to $270M
Jun 17, 2020 to Mar 9, 2021
Individual RAUM · $171M to $189M
Jun 17, 2020 to Mar 9, 2021
Non-discretionary RAUM · $9.0M to $9.0M
Jun 17, 2020 to Mar 9, 2021
RAUM · $487M to $540M
Jun 17, 2020 to Mar 9, 2021
Accounts · 1,764 to 1,796
Mar 20, 2019 to Mar 18, 2020
Advisory employees · 7 to 6
Mar 20, 2019 to Mar 18, 2020
Charity clients · 91 to 92
Mar 20, 2019 to Mar 18, 2020
Corporate clients · 45 to 46
Mar 20, 2019 to Mar 18, 2020
HNW clients · 453 to 459
Mar 20, 2019 to Mar 18, 2020

Signals

4 dated events

••• Locked
Sep 16, 2026 · ria principal change · derived
••• Locked
Sep 16, 2026 · ria office closed · derived
••• Locked
Mar 14, 2024 · RAUM change · derived
••• Locked
Mar 18, 2020 · Control person left · inference

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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $205Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026