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
R••••••••• I••••••••• M••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Oct 18, 2001
RAUM
$1.8B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
74%
$1.4B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.8B as of Jul 14, 2026
Mar 28, 2012$258M then
HNW client RAUM$1.0B as of Jul 14, 2026
Mar 28, 2018$478M then
State-registered IARs (5.B.3)12 as of Jul 14, 2026
Mar 28, 20120 then
Employees (5.A)18 as of Jul 14, 2026
Mar 28, 20139 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $444,578derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $23.1M, 20 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B56%
- Individuals$327M18%
- Corporations and businesses$223M12%
- Charitable organizations$181M9.8%
- Pension and profit-sharing plans$79.3M4.3%
- Individual clients
- 1,202reported
- HNW clients
- 316reported
- Pension plan clients
- 7reported
- Charitable clients
- 43reported
- Accounts
- 4,133reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.1M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• A•••••• S•••••••Certified Financial Planner | Syracuse, Ny | Mar 22, 2021 | 19 y | 0 |
| C••••• E•••••••• A•••••• | Syracuse, Ny | May 6, 2021 | 11 y | 0 |
| Z•••••• D••••• D•••••••Certified Financial Planner | Syracuse, Ny | May 7, 2021 | 11 y | 0 |
| P•••••• E••••• R•••Certified Financial Planner | Syracuse, Ny | May 7, 2021 | 18 y | 1 |
| A•••••• R••••• F••••••Certified Financial Planner | Syracuse, Ny | May 7, 2021 | 18 y | 0 |
| D•••• M•••••• C••••••Certified Financial Planner | Syracuse, Ny | May 7, 2021 | 14 y | 1 |
| C•••• A•••• B•••••••Chartered Financial Analyst | Syracuse, Ny | May 27, 2021 | 18 y | 0 |
| R••••• J••• R••• | Syracuse, Ny | May 30, 2021 | 12 y | 0 |
| A••• C•••• G•••• | Syracuse, Ny | Dec 15, 2021 | 16 y | 1 |
| A••• U••••••••Certified Financial Planner | Syracuse, Ny | Sep 22, 2022 | 13 y | 1 |
| D•••• K•••••••Certified Financial Planner | Syracuse, Ny | Oct 2, 2024 | 10 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 18% of current headcount3 left over 36 months
Left, latest
- R•••• L••••••• to B•••••• L••• A••••••• S•••••••• I•••Jun 12, 2026 · RIA to affiliated broker-dealer or bank
- K•••• R••••• S••••••• to R••••• W••••• M•••••••••Dec 2, 2025 · RIA to RIA
- M•••••• R••• M••••• to W••••• F•••••••• L••Aug 12, 2025 · RIA to RIA
- E••••• J••• B•••• to R••••• W••••• M•••••••••May 26, 2022 · RIA to a newly registered adviser
- E•••• D•••• G•••••• to R••••• W••••• M•••••••••May 26, 2022 · RIA to a newly registered adviser
- M•••••• L• A•••••••• to R••••• W••••• M•••••••••May 26, 2022 · RIA to a newly registered adviser
Joined, latest
- R•••• L••••••• from B•••••• L••• A••••••• S•••••••• I•••Mar 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••• U•••••••• from E•••••••• A•••••••• L••Sep 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••• C•••• G•••• from B•••••••• A•••• M••••••••• L••Dec 15, 2021 · Other
- E••••• J••• B•••• from S••• C••• F•••••••• P••••••• A•• W••••• M••••••••• L••May 30, 2021 · Other
- M•••••• L• A•••••••• from G•••••• S•••• W••••• S•••••••• L•••May 30, 2021 · Other
- K•••• R••••• S••••••• from C•••••• G•••• • C• I••May 10, 2021 · Other
- P•••••• E••••• R••• from W•••• F•••• A•••••••May 7, 2021 · Wirehouse to independent RIA
- D•••• M•••••• C•••••• from W•••• F•••• A•••••••May 7, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R••••• W••••• M•••••••••May 26, 2022 · Syracuse, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••• A•••• · Managercontrolsince 12/1997 · owns 5% to 10%
- C••••••• D••••• M•••••• · Managercontrolsince 01/2025 · owns 25% to 50%
- E••••••• P•••••••• A••• · Chief Compliance Officercontrolsince 04/2015 · owns less than 5%
- F••••••• A••••••• R••••• · Managercontrolsince 01/2008 · owns 10% to 25%
- K•••••••• D•••• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- R•••• P••••••• E••••• · Chief Executive Officercontrolsince 01/2020 · owns 25% to 50%
- S•••••••• N•••••••• A•••••• · Chief Operating Officercontrolsince 01/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R••••••••• I••••••••• M••••••••• L•• as a related person
- 135096 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 11 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Cazenovia, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 14, 2026K•••••••• D•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-03-26 and 2026-07-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 14, 2026E••••••• P•••••••• A••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-03-26 and 2026-07-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,108 to 4,133Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 14 to 13Mar 27, 2025 to Mar 27, 2026
- Charity clients · 42 to 43Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 23 to 19Mar 27, 2025 to Mar 27, 2026
- HNW clients · 318 to 316Mar 27, 2025 to Mar 27, 2026
- Individual clients · 1,235 to 1,202Mar 27, 2025 to Mar 27, 2026
- Pension plan clients · 11 to 7Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $25.0M to $23.1MMar 27, 2025 to Mar 27, 2026
- Employees · 21 to 18Mar 27, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 251-500Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.6B to $1.8BMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $885M to $1.0BMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $293M to $327MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $62.0M to $50.8MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $88.3M to $79.3MMar 27, 2025 to Mar 27, 2026
- RAUM · $1.7B to $1.8BMar 27, 2025 to Mar 27, 2026
- Accounts · 3,887 to 4,108Oct 17, 2024 to Mar 27, 2025
- Advisory employees · 15 to 14Oct 17, 2024 to Mar 27, 2025
- Charity clients · 35 to 42Oct 17, 2024 to Mar 27, 2025
- Corporate clients · 29 to 23Oct 17, 2024 to Mar 27, 2025
- HNW clients · 366 to 318Oct 17, 2024 to Mar 27, 2025
- Individual clients · 1,123 to 1,235Oct 17, 2024 to Mar 27, 2025
- Pension plan clients · 15 to 11Oct 17, 2024 to Mar 27, 2025
- Assets in custody · $13.6M to $25.0MOct 17, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Oct 17, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.4B to $1.6BOct 17, 2024 to Mar 27, 2025
- HNW RAUM · $824M to $885MOct 17, 2024 to Mar 27, 2025
- Individual RAUM · $205M to $293MOct 17, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $48.4M to $62.0MOct 17, 2024 to Mar 27, 2025
- Pension RAUM · $93.0M to $88.3MOct 17, 2024 to Mar 27, 2025
- RAUM · $1.5B to $1.7BOct 17, 2024 to Mar 27, 2025
- Accounts · 3,631 to 3,887Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 14 to 15Mar 29, 2023 to Mar 28, 2024
- Charity clients · 32 to 35Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 23 to 29Mar 29, 2023 to Mar 28, 2024
- HNW clients · 300 to 366Mar 29, 2023 to Mar 28, 2024
- Individual clients · 1,134 to 1,123Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 17 to 15Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $15.5M to $13.6MMar 29, 2023 to Mar 28, 2024
- Employees · 19 to 21Mar 29, 2023 to Mar 28, 2024
Signals
10 dated events
- R•••• L••••••• left R••••••••• I••••••••• M••••••••• L•• for B•••••• L••• A••••••• S•••••••• I••• (registered 2026-08-07)Jun 12, 2026 · Advisor changed firm · fact
- K•••• R••••• S••••••• left R••••••••• I••••••••• M••••••••• L•• for R••••• W••••• M••••••••• (registered 2025-12-01)Dec 2, 2025 · Advisor changed firm · fact
- M•••••• R••• M••••• left R••••••••• I••••••••• M••••••••• L•• for W••••• F•••••••• L•• (registered 2026-03-05)Aug 12, 2025 · Advisor changed firm · fact
- 3 advisors left R••••••••• I••••••••• M••••••••• L•• (Syracuse, NY) for R••••• W••••• M••••••••• on the same dayMay 26, 2022 · Team lift-out · derived
- M•••••• L• A•••••••• left R••••••••• I••••••••• M••••••••• L•• for R••••• W••••• M••••••••• (registered 2022-04-18)May 26, 2022 · Advisor changed firm · fact
- E•••• D•••• G•••••• left R••••••••• I••••••••• M••••••••• L•• for R••••• W••••• M••••••••• (registered 2022-04-25)May 26, 2022 · Advisor changed firm · fact
- E••••• J••• B•••• left R••••••••• I••••••••• M••••••••• L•• for R••••• W••••• M••••••••• (registered 2022-04-07)May 26, 2022 · Advisor changed firm · fact
- R••••••••• I••••••••• M••••••••• L•• reported 14 state-registered advisory representatives, up from 0 (2021-08-06 to 2022-03-30)Mar 30, 2022 · Advisor headcount change · derived
- R••••••••• I••••••••• M••••••••• L•• reported RAUM $1.6B, up 52% from $1.0B (2021-08-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- R••••••••• I••••••••• M••••••••• L•• reported RAUM $717.7M, up 27% from $566.0M (2017-03-28 to 2018-03-28)Mar 28, 2018 · 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
- Business email
- info@rockbridgeinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 315-671-0588reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/company/rockbridge-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••••••INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-671-0588reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- rockbridgeinvest.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rockbridgeinvest.com/who-we-arereportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026