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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SEC-registered adviser
S••••••• A•••• M••••••••• C• I••
Latest filing Feb 24, 2026
First filing on the tape Mar 6, 2012 · 20 filings
SEC status approved since Feb 28, 1991
RAUM
$87.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$87.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$87.0M as of Feb 24, 2026
Mar 6, 2012$112M then
HNW client RAUM$82.5M as of Feb 24, 2026
Mar 30, 2018$43.0M then
State-registered IARs (5.B.3)0 as of Feb 24, 2026
Mar 6, 20120 then
Employees (5.A)1 as of Feb 24, 2026
Mar 14, 20131 then
Private funds: no history
RAUM +0.2% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2026; 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
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM 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
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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$82.5M95%
- Individuals$4.5M5.1%
- Individual clients
- 13reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• D•••••• A••••• · President/Chief Compliance Officercontrolsince 06/1992 · owns 75% or more
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 · $86.8M to $87.0MFeb 5, 2025 to Feb 24, 2026
- HNW RAUM · $83.3M to $82.5MFeb 5, 2025 to Feb 24, 2026
- Individual RAUM · $3.6M to $4.5MFeb 5, 2025 to Feb 24, 2026
- RAUM · $86.8M to $87.0MFeb 5, 2025 to Feb 24, 2026
- Accounts · 55 to 65Mar 21, 2024 to Feb 5, 2025
- HNW clients · 29 to 30Mar 21, 2024 to Feb 5, 2025
- Individual clients · 8 to 13Mar 21, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Feb 5, 2025
- HQ city · unset to Mar 21, 2024 to Feb 5, 2025
- HQ state · unset to Mar 21, 2024 to Feb 5, 2025
- Discretionary RAUM · $65.4M to $86.8MMar 21, 2024 to Feb 5, 2025
- HNW RAUM · $64.5M to $83.3MMar 21, 2024 to Feb 5, 2025
- Individual RAUM · $923,441 to $3.6MMar 21, 2024 to Feb 5, 2025
- RAUM · $65.4M to $86.8MMar 21, 2024 to Feb 5, 2025
- Accounts · 58 to 55Feb 21, 2023 to Mar 21, 2024
- HNW clients · 28 to 29Feb 21, 2023 to Mar 21, 2024
- Individual clients · 6 to 8Feb 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $58.7M to $65.4MFeb 21, 2023 to Mar 21, 2024
- HNW RAUM · $56.8M to $64.5MFeb 21, 2023 to Mar 21, 2024
- Individual RAUM · $1.9M to $923,441Feb 21, 2023 to Mar 21, 2024
- RAUM · $58.7M to $65.4MFeb 21, 2023 to Mar 21, 2024
- Accounts · 65 to 58Mar 22, 2022 to Feb 21, 2023
- HNW clients · 35 to 28Mar 22, 2022 to Feb 21, 2023
- Individual clients · 7 to 6Mar 22, 2022 to Feb 21, 2023
- Discretionary RAUM · $64.1M to $58.7MMar 22, 2022 to Feb 21, 2023
- HNW RAUM · $63.0M to $56.8MMar 22, 2022 to Feb 21, 2023
- Individual RAUM · $1.1M to $1.9MMar 22, 2022 to Feb 21, 2023
- RAUM · $64.1M to $58.7MMar 22, 2022 to Feb 21, 2023
- HQ city · ALBANY to unsetMar 29, 2021 to Mar 22, 2022
- HQ state · NY to unsetMar 29, 2021 to Mar 22, 2022
- Discretionary RAUM · $290M to $64.1MMar 29, 2021 to Mar 22, 2022
- HNW RAUM · $51.9M to $63.0MMar 29, 2021 to Mar 22, 2022
- Individual RAUM · $2.5M to $1.1MMar 29, 2021 to Mar 22, 2022
- RAUM · $290M to $64.1MMar 29, 2021 to Mar 22, 2022
- Accounts · 69 to 65Jun 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $235M to $290MJun 23, 2020 to Mar 29, 2021
- HNW RAUM · $233M to $51.9MJun 23, 2020 to Mar 29, 2021
- RAUM · $235M to $290MJun 23, 2020 to Mar 29, 2021
- Accounts · 70 to 69Dec 3, 2019 to Mar 27, 2020
- Discretionary RAUM · $225M to $235MDec 3, 2019 to Mar 27, 2020
Signals
1 dated events
- S••••••• A•••• M••••••••• C• I•• reported RAUM $64.1M, down 78% from $289.7M (2021-03-29 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
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
- Principal office phone
- 518-265-6968reportedpublic record, Form ADV, Feb 24, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026