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.

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Former SEC-registered adviser

N•••• C•••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserGlens Falls, New YorkCRD 112554SEC 801-58290IAPD
Latest filing Mar 21, 2025
First filing on the tape Feb 10, 2012 · 27 filings
SEC status approved since Jan 22, 2001
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 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$125M as of Mar 21, 2025
Feb 10, 2012$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2025
Feb 10, 20120 then
Employees (5.A)6 as of Mar 21, 2025
Feb 13, 20137 then
Private funds: no history
RAUM +4.9% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$125MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+4.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$125M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• H••••••• L• · Chief Compliance Officercontrol
        since 02/2022 · owns less than 5%
      • B••••• M•••• L• · Directorcontrol
        since 02/2016 · owns less than 5%
      • C•••••••• T••••• R• · Directorcontrol
        since 05/2011 · owns less than 5%
      • D•••••• J••••• M• · Directorcontrol
        since 01/2016 · owns less than 5%
      • D••••• K•••••••• D• · Directorcontrol
        since 04/2021 · owns less than 5%
      • H•••••••• A•••• M•••••• · Secretarycontrol
        since 02/2019 · owns less than 5%
      • K••••••• E•••••••• A•••• · Vice Presidentcontrol
        since 08/2018 · owns less than 5%
      • M•••••• M••••••• G• · Presidentcontrol
        since 06/2019 · owns less than 5%
      • M•••••• P•••••• C• · Directorcontrol
        since 01/2022 · owns less than 5%
      • I•••••• P••••• K•••••••• · Treasurer
        since 03/2023 · owns less than 5%
      Entity owners
      • G•••• F•••• N••••••• B••• • T•••• C•••••• · Sole Owner
        direct · owns 75% or more
      • A•••• F•••••••• C•••• · Sole Owner
        indirect · owns 75% or more of G•••• F•••• N••••••• B••• • T•••• C•••••• · public reporting company
      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
      • Discretionary RAUM · $119M to $125M
        Mar 22, 2024 to Mar 21, 2025
      • RAUM · $119M to $125M
        Mar 22, 2024 to Mar 21, 2025
      • Discretionary RAUM · $124M to $119M
        Mar 17, 2023 to Mar 22, 2024
      • RAUM · $124M to $119M
        Mar 17, 2023 to Mar 22, 2024
      • Discretionary RAUM · $253M to $124M
        Oct 6, 2022 to Mar 17, 2023
      • RAUM · $253M to $124M
        Oct 6, 2022 to Mar 17, 2023
      • Advisory employees · 3 to 4
        May 6, 2021 to Mar 24, 2022
      • Discretionary RAUM · $246M to $253M
        May 6, 2021 to Mar 24, 2022
      • RAUM · $246M to $253M
        May 6, 2021 to Mar 24, 2022
      • Employees · 5 to 6
        Mar 5, 2020 to Feb 11, 2021
      • Discretionary RAUM · $219M to $246M
        Mar 5, 2020 to Feb 11, 2021
      • RAUM · $219M to $246M
        Mar 5, 2020 to Feb 11, 2021
      • Advisory activities · 2 to 1
        Jun 25, 2019 to Mar 5, 2020
      • Employees · 6 to 5
        Jun 25, 2019 to Mar 5, 2020
      • Other offices · 1 to 0
        Jun 25, 2019 to Mar 5, 2020
      • Discretionary RAUM · $186M to $219M
        Jun 25, 2019 to Mar 5, 2020
      • RAUM · $186M to $219M
        Jun 25, 2019 to Mar 5, 2020
      • Related insurance company · true to false
        Jun 25, 2019 to Mar 5, 2020
      • Employees · 5 to 6
        Sep 4, 2018 to Mar 5, 2019
      • Discretionary RAUM · $197M to $186M
        Sep 4, 2018 to Mar 5, 2019
      • RAUM · $197M to $186M
        Sep 4, 2018 to Mar 5, 2019
      • Employees · 4 to 5
        Apr 26, 2018 to Sep 4, 2018
      • Employees · 6 to 4
        Oct 10, 2017 to Mar 7, 2018
      • Discretionary RAUM · $197M to $197M
        Oct 10, 2017 to Mar 7, 2018
      • RAUM · $197M to $197M
        Oct 10, 2017 to Mar 7, 2018
      • Other offices · unset to 1.0
        Jul 6, 2017 to Oct 10, 2017
      • Employees · 5 to 6
        Nov 7, 2016 to Mar 6, 2017
      • Discretionary RAUM · $202M to $197M
        Nov 7, 2016 to Mar 6, 2017
      • RAUM · $202M to $197M
        Nov 7, 2016 to Mar 6, 2017
      • Employees · 6 to 5
        Mar 2, 2016 to Nov 7, 2016
      • Employees · 8 to 6
        Sep 23, 2015 to Mar 2, 2016
      • Discretionary RAUM · $184M to $202M
        Sep 23, 2015 to Mar 2, 2016
      • RAUM · $184M to $202M
        Sep 23, 2015 to Mar 2, 2016
      • Employees · 7 to 8
        Aug 31, 2015 to Sep 23, 2015
      • Employees · 8 to 7
        Feb 17, 2015 to Aug 31, 2015
      • Discretionary RAUM · $179M to $184M
        Feb 7, 2014 to Feb 17, 2015
      • RAUM · $179M to $184M
        Feb 7, 2014 to Feb 17, 2015
      • Discretionary RAUM · $164M to $179M
        May 15, 2013 to Feb 7, 2014
      • RAUM · $164M to $179M
        May 15, 2013 to Feb 7, 2014
      • Employees · 7 to 8
        Feb 13, 2013 to May 15, 2013
      Signals
      12 dated events
      • N•••• C•••••• I••••••••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $124.9M)
        Jul 1, 2025 · Left the SEC roster · derived
      • N•••• C•••••• I••••••••• A•••••••• I••• reported RAUM $124.2M, down 51% from $253.1M (2022-10-06 to 2023-03-17)
        Mar 17, 2023 · RAUM change · derived
      • Philip Morris (Director) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        Mar 24, 2022 · Control person joined · fact
      • Heather Ashline (Chief Compliance Officer) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        Mar 24, 2022 · Control person joined · fact
      • M••••••• Laroche (Director) no longer on Schedule A of N•••• C•••••• I••••••••• A•••••••• I••• (listed 2021-05-06, absent 2022-03-24)
        Mar 24, 2022 · Control person left · inference
      • D K••••••• D•••• (Director) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        May 6, 2021 · Control person joined · fact
      • M••••••• Laroche (Director) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        May 6, 2021 · Control person joined · fact
      • J Richard Reisman (Director) no longer on Schedule A of N•••• C•••••• I••••••••• A•••••••• I••• (listed 2021-02-11, absent 2021-05-06)
        May 6, 2021 · Control person left · inference
      • Francis Raymond Oconor (Director) no longer on Schedule A of N•••• C•••••• I••••••••• A•••••••• I••• (listed 2020-03-05, absent 2021-02-11)
        Feb 11, 2021 · Control person left · inference
      • Matthew Peter Capozzola (President) no longer on Schedule A of N•••• C•••••• I••••••••• A•••••••• I••• (listed 2019-03-05, absent 2019-06-25)
        Jun 25, 2019 · Control person left · inference
      • G M•••••• M••••• (President) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        Jun 25, 2019 · Control person joined · fact
      • Matthew Adam Horowitz (Secretary) appeared on Schedule A of N•••• C•••••• I••••••••• A•••••••• I•••
        Mar 5, 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026