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
Fenimore Asset Management, Inc.
Latest filing Jan 2, 2026
First filing on the tape Dec 23, 2011 · 40 filings
SEC status approved since Dec 22, 1974
RAUM
$5.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$1.7B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$285M
derived; firm RAUM over IAPD count
Employees
43
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$5.4B as of Jan 2, 2026
Dec 23, 2011$1.4B then
HNW client RAUM$1.6B as of Jan 2, 2026
Dec 21, 2017$728M then
State-registered IARs (5.B.3)24 as of Jan 2, 2026
Dec 14, 20123 then
Employees (5.A)43 as of Jan 2, 2026
Dec 14, 201228 then
Private funds1 as of Jan 2, 2026
Dec 23, 20111 then
RAUM -0.3% over the last fiscal year+13% a year over threeIARs 26 to 24
Practice profile
derived from the filing of Jan 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $285MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 9.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, publications, educational seminarsreportedItem 5.G
- Custody
- $48.0M, 1 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.0B55%
- High-net-worth individuals$1.6B29%
- Charitable organizations$283M5.2%
- Pension and profit-sharing plans$259M4.8%
- Corporations and businesses$123M2.3%
- Individuals$110M2.0%
- Pooled investment vehicles$48.0M0.9%
- Insurance companies$37.7M0.7%
- Individual clients
- 177reported
- HNW clients
- 399reported
- Pension plan clients
- 20reported
- Charitable clients
- 68reported
- Accounts
- 1,192reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.0M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.31 fund_share=0.56 institutional_share=0.11 related_bd=true related_bank=false bd_reps=24.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Anne B. Putnam | Cobleskill, Ny | Jun 11, 2007 | 21 y | 1 |
| Jesse Carl Koepp | Cobleskill, Ny | Jul 2, 2018 | 22 y | 1 |
| Shannon Almy | Cobleskill, Ny | Jul 2, 2018 | 23 y | 0 |
| Kevin Thomas SmithCertified Financial Planner | Cobleskill, Ny | Oct 24, 2018 | 21 y | 0 |
| Christopher James La PortaCertified Financial Planner | Cobleskill, Ny | Dec 19, 2018 | 27 y | 0 |
| Matthew David Laverty | Cobleskill, Ny | May 6, 2020 | 10 y | 0 |
| Erin E Luciano | Cobleskill, Ny | May 6, 2020 | 17 y | 0 |
| Joseph Michael LeroyCertified Financial Planner | Cobleskill, Ny | May 9, 2022 | 22 y | 0 |
| Shaun R Fagant | Cobleskill, Ny | Jul 14, 2022 | 15 y | 0 |
| William George Wise | Cobleskill, Ny | Sep 27, 2022 | 15 y | 3 |
| Christian Adams SnyderChartered Financial Analyst | Cobleskill, Ny | Oct 5, 2022 | 12 y | 1 |
| Richard Henry Heim | Cobleskill, Ny | May 9, 2024 | 22 y | 2 |
| Jonathan William Moran | Cobleskill, Ny | Jan 8, 2025 | 11 y | 0 |
| Ricki Lyn Wrigley | Cobleskill, Ny | Mar 21, 2025 | 25 y | 2 |
| Brendan William Scoralick | Cobleskill, Ny | Apr 16, 2025 | 19 y | 0 |
| Palmer Nicholas Fargnoli | Cobleskill, Ny | Apr 21, 2025 | 12 y | 0 |
| Wahid Ullah Nabi | Cobleskill, Ny | Apr 21, 2025 | 22 y | 0 |
| James Glenn HaleyCertified Financial Planner | Bluffton, Sc | Jan 16, 2026 | 29 y | 8 |
| Cameron Heath Macdonald | Cobleskill, Ny | Jul 24, 2026 | 17 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jeffrey James Kohl to Heartland Advisors, Inc.Sep 26, 2019 · Other
Joined, latest
- James Glenn Haley from Dividend Assets Capital, LLCJan 16, 2026 · RIA to RIA
- Ricki Lyn Wrigley from Empower Advisory Group, LLCMar 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- Richard Henry Heim from Charles Schwab & Co., Inc.May 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- Christian Adams Snyder from Goldman Sachs Wealth Services, L.P.Oct 5, 2022 · Affiliated broker-dealer or bank to independent RIA
- William George Wise from Tandem Wealth AdvisorsSep 27, 2022 · RIA to RIA
- Jesse Carl Koepp from Trustco BankJul 2, 2018 · Other
- Jeffrey James Kohl from Heartland Advisors, Inc.Nov 23, 2015 · Other
- Anne B. Putnam from The Danforth Associates, IncJun 11, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Fenimore Small Cap Fund, LLC | Hedge Fund | $48.0M | 17 | Dec 23, 2011 |
Owners and control persons
Schedule A and B, latest filing
- Frank Michael Balboa · Chief Financial Officer/Treasurer/Secretarycontrolsince 08/2016 · owns less than 5%
- Derwin John Fox · Chief Investment Officercontrolsince 10/2015 · owns less than 5%
- B. Anne Putnam · Chief Executive Officercontrolsince 10/2023 · owns less than 5%
- Anne Patricia Putnam · Vice President, Directorcontrolsince 02/1983 · owns less than 5%
- Oliver Thomas Putnam · Executive Chairman, Directorcontrolsince 12/2019 · owns 50% to 75%
- Adams Christian Snyder · President & Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- Claver Paul Hogan · Portfolio Managersince 10/2022 · owns 5% to 10%
- Marie Joyce Lapreta · Chief Compliance Officersince 02/2024 · owns less than 5%
Related persons
Schedule D 7.A
- Fenimore Securities, Inc.broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cobleskill, Ny · principal | 19 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Albany, NY4 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jan 2, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-05-06, yes on the filing of 2026-01-02peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jan 2, 2026FOX, JOHN, DERWIN (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-04-04 and 2026-01-02peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,164 to 1,192May 6, 2025 to Jan 2, 2026
- Advisory employees · 24 to 23May 6, 2025 to Jan 2, 2026
- Advisory activities · 7 to 8May 6, 2025 to Jan 2, 2026
- BD registered reps · 26 to 24May 6, 2025 to Jan 2, 2026
- Charity clients · 63 to 68May 6, 2025 to Jan 2, 2026
- Corporate clients · 11 to 13May 6, 2025 to Jan 2, 2026
- HNW clients · 367 to 399May 6, 2025 to Jan 2, 2026
- Individual clients · 196 to 177May 6, 2025 to Jan 2, 2026
- Pension plan clients · 18 to 20May 6, 2025 to Jan 2, 2026
- Assets in custody · $58.3M to $48.0MMay 6, 2025 to Jan 2, 2026
- Employees · 44 to 43May 6, 2025 to Jan 2, 2026
- Financial planning clients · 11-25 to 51-100May 6, 2025 to Jan 2, 2026
- State-registered IARs · 26 to 24May 6, 2025 to Jan 2, 2026
- Discretionary RAUM · $5.4B to $5.4BMay 6, 2025 to Jan 2, 2026
- HNW RAUM · $1.5B to $1.6BMay 6, 2025 to Jan 2, 2026
- Individual RAUM · $118M to $110MMay 6, 2025 to Jan 2, 2026
- Pension RAUM · $230M to $259MMay 6, 2025 to Jan 2, 2026
- Pooled vehicle RAUM · $58.3M to $48.0MMay 6, 2025 to Jan 2, 2026
- RAUM · $5.4B to $5.4BMay 6, 2025 to Jan 2, 2026
- Financial planning clients · 11-25 to 11-25Jan 3, 2025 to May 6, 2025
- Accounts · 1,112 to 1,164Apr 4, 2024 to Jan 3, 2025
- Advisory employees · 23 to 24Apr 4, 2024 to Jan 3, 2025
- Advisory activities · 6 to 7Apr 4, 2024 to Jan 3, 2025
- BD registered reps · 21 to 26Apr 4, 2024 to Jan 3, 2025
- Charity clients · 51 to 63Apr 4, 2024 to Jan 3, 2025
- Corporate clients · 10 to 11Apr 4, 2024 to Jan 3, 2025
- HNW clients · 315 to 367Apr 4, 2024 to Jan 3, 2025
- Individual clients · 238 to 196Apr 4, 2024 to Jan 3, 2025
- Pension plan clients · 15 to 18Apr 4, 2024 to Jan 3, 2025
- Assets in custody · $45.6M to $58.3MApr 4, 2024 to Jan 3, 2025
- Employees · 38 to 44Apr 4, 2024 to Jan 3, 2025
- Financial planning clients · 51-100 to 11-25Apr 4, 2024 to Jan 3, 2025
- HQ city · ALBANY to COBLESKILLApr 4, 2024 to Jan 3, 2025
- State-registered IARs · 14 to 26Apr 4, 2024 to Jan 3, 2025
- Discretionary RAUM · $4.2B to $5.4BApr 4, 2024 to Jan 3, 2025
- HNW RAUM · $1.1B to $1.5BApr 4, 2024 to Jan 3, 2025
- Individual RAUM · $142M to $118MApr 4, 2024 to Jan 3, 2025
- Pension RAUM · $201M to $230MApr 4, 2024 to Jan 3, 2025
- Pooled vehicle RAUM · $45.6M to $58.3MApr 4, 2024 to Jan 3, 2025
- RAUM · $4.2B to $5.4BApr 4, 2024 to Jan 3, 2025
Signals
8 dated events
- Fenimore Asset Management, Inc. reported 26 state-registered advisory representatives, up from 14 (2024-04-04 to 2025-01-03)Jan 3, 2025 · Advisor headcount change · derived
- Fenimore Asset Management, Inc. reported RAUM $5.4B, up 29% from $4.2B (2024-04-04 to 2025-01-03)Jan 3, 2025 · RAUM change · derived
- Christian Snyder (President) appeared on Schedule A of Fenimore Asset Management, Inc.Jan 3, 2023 · Control person joined · fact
- Ann Debra Pollard (President) no longer on Schedule A of Fenimore Asset Management, Inc. (listed 2022-06-13, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- Fenimore Asset Management, Inc. reported RAUM $4.3B, up 29% from $3.4B (2021-09-15 to 2021-12-15)Dec 15, 2021 · RAUM change · derived
- F Chris Dennison (Chief Operating Officer) no longer on Schedule A of Fenimore Asset Management, Inc. (listed 2019-09-18, absent 2019-12-05)Dec 5, 2019 · Control person left · inference
- Derwin John Fox (Chief Executive Officer, Chief Investment Officer) appeared on Schedule A of Fenimore Asset Management, Inc.Dec 5, 2019 · Control person joined · fact
- F Chris Dennison (Chief Operating Officer) appeared on Schedule A of Fenimore Asset Management, Inc.Sep 18, 2019 · 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 email
- info@fenimoreasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pcs@fenimoreasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-234-4393reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-234-4473reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-234-7462reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fenimore-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fenimoreasset.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-234-4393reportedpublic record, Form ADV, Jan 2, 2026
- Contact form
- fenimoreasset.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fenimoreasset.com/about-us/teamreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $285Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026