DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••• A•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 22, 2012 · 24 filings
SEC status approved since Sep 10, 2001
RAUM
$943M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
86%
$812M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$471M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$943M as of Mar 18, 2026
Mar 22, 2012$355M then
HNW client RAUM$812M as of Mar 18, 2026
Mar 28, 2018$354M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 22, 20120 then
Employees (5.A)8 as of Mar 18, 2026
Mar 20, 20138 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $471MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.9MderivedHNW RAUM over HNW clients
- Average account
- $4.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $865M, 83 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$812M86%
- Corporations and businesses$77.7M8.2%
- Charitable organizations$52.8M5.6%
- Individual clients
- n/areported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 215reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $865M for 83 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• D••••• M••••• | Pittsford, Ny | Jul 22, 2021 | 24 y | 0 |
| J••••••• A•••••• T••••• | Pittsford, Ny | Jul 22, 2021 | 24 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
- M•••••• P••••••• D••••• · Member/Manager/Chief Compliance Officercontrolsince 11/2000 · owns 25% to 50%
- T•••••• J•••••••• A•••••• · Member/Chief Executive Officercontrolsince 01/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 18, 2026HNW RAUM per HNW client of $15,924,581 against a peer median of $3,134,900 (1404 comparable advisers, 99.0th percentile, 8.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 99% percentile
- control person changedChange between filings · filing Mar 18, 2026M•••••• P••••••• D••••• (MEMBER/MANAGER/CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-22 and 2026-03-18peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 214 to 215Mar 26, 2025 to Mar 18, 2026
- Advisory employees · 4 to 3Mar 26, 2025 to Mar 18, 2026
- Corporate clients · 23 to 20Mar 26, 2025 to Mar 18, 2026
- HNW clients · 52 to 51Mar 26, 2025 to Mar 18, 2026
- Assets in custody · $755M to $865MMar 26, 2025 to Mar 18, 2026
- Employees · 9 to 8Mar 26, 2025 to Mar 18, 2026
- Discretionary RAUM · $646M to $702MMar 26, 2025 to Mar 18, 2026
- HNW RAUM · $705M to $812MMar 26, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $183M to $241MMar 26, 2025 to Mar 18, 2026
- RAUM · $829M to $943MMar 26, 2025 to Mar 18, 2026
- Accounts · 216 to 214Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Mar 26, 2025
- Charity clients · 7 to 8Mar 28, 2024 to Mar 26, 2025
- HNW clients · 51 to 52Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $657M to $755MMar 28, 2024 to Mar 26, 2025
- Employees · 8 to 9Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $591M to $646MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $611M to $705MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $134M to $183MMar 28, 2024 to Mar 26, 2025
- RAUM · $725M to $829MMar 28, 2024 to Mar 26, 2025
- Accounts · 222 to 216Mar 28, 2023 to Mar 26, 2024
- Charity clients · 8 to 7Mar 28, 2023 to Mar 26, 2024
- Corporate clients · 22 to 23Mar 28, 2023 to Mar 26, 2024
- Assets in custody · $565M to $657MMar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $473M to $591MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $515M to $611MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $168M to $134MMar 28, 2023 to Mar 26, 2024
- RAUM · $641M to $725MMar 28, 2023 to Mar 26, 2024
- Accounts · 226 to 222Jan 30, 2023 to Mar 24, 2023
- Advisory employees · 4 to 3Jan 30, 2023 to Mar 24, 2023
- Corporate clients · 23 to 22Jan 30, 2023 to Mar 24, 2023
- Assets in custody · $655M to $565MJan 30, 2023 to Mar 24, 2023
- Employees · 9 to 8Jan 30, 2023 to Mar 24, 2023
- Discretionary RAUM · $584M to $473MJan 30, 2023 to Mar 24, 2023
- HNW RAUM · $637M to $515MJan 30, 2023 to Mar 24, 2023
- Non-discretionary RAUM · $177M to $168MJan 30, 2023 to Mar 24, 2023
- RAUM · $760M to $641MJan 30, 2023 to Mar 24, 2023
- Assets in custody · $551M to $655MAug 18, 2021 to Mar 25, 2022
- Discretionary RAUM · $439M to $584MAug 18, 2021 to Mar 25, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Ashford Advisors LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 585-697-0362reportedpublic record, Form ADV, Mar 18, 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
- $471Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026