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.

Former SEC-registered adviser

Nixon Peabody Financial Advisors LLC

Former SEC-registered adviserRochester, New YorkCRD 117232SEC 801-64472IAPD
Latest filing Jan 17, 2018
First filing on the tape Mar 28, 2012 · 21 filings
RAUM
$176M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
38%
$66.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$176M as of Jan 17, 2018
Mar 28, 2012$34.7M then
HNW client RAUM: $65.5M
State-registered IARs (5.B.3)2 as of Jan 17, 2018
Mar 28, 20120 then
Employees (5.A)9 as of Jan 17, 2018
Mar 25, 201310 then
Private funds: no history
RAUM +17% over the last fiscal year+60% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jan 17, 2018; every figure names its basis
RAUM per advisor
$88.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
Custody
$142M, 16 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$110M62%
  • High-net-worth individuals$65.5M37%
  • Individuals$1.4M0.8%
Individual clients
17reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
115reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$142M for 16 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lynn Deborah Anderson · Chief Executive Officer And Board Membercontrol
    since 02/2010 · owns less than 5%
  • Marie Andrea Ells · President, Chief Investment Officer And Board Membercontrol
    since 10/2013 · owns less than 5%
  • Norris Daniel Jones · Vice President, Director Of Tax & Financial Planning, And Board Membercontrol
    since 05/2015 · owns less than 5%
  • Patrick Wayne Leggiadro · Board Membercontrol
    since 01/2012 · owns less than 5%
  • William Brian Mahoney · Board Membercontrol
    since 08/2015 · owns less than 5%
  • Margaret Mary Paul · Senior Planner, Director Of Tax Administrationcontrol
    since 01/2015 · owns less than 5%
Entity owners
  • Nixon Peabody Llp · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Nixon Peabody Llp
    y
  • Omnicap Group LLC
    investment advisernRAUM $6.5B
  • Watch Point Trust Company
    n
Offices
Schedule D 1.F, the 25 largest
  • Washington, DC3 employees
  • Boston, MA1 employees
What changed
consecutive filings, newest first
  • Accounts · 108 to 115
    Mar 28, 2017 to Jan 17, 2018
  • Advisory employees · 7 to 8
    Mar 28, 2017 to Jan 17, 2018
  • HNW clients · unset to 26.0
    Mar 28, 2017 to Jan 17, 2018
  • Individual clients · unset to 17.0
    Mar 28, 2017 to Jan 17, 2018
  • Assets in custody · unset to 142411793.0
    Mar 28, 2017 to Jan 17, 2018
  • Custody of client assets · false to true
    Mar 28, 2017 to Jan 17, 2018
  • Employees · 18 to 9
    Mar 28, 2017 to Jan 17, 2018
  • Financial planning clients · 26-50 to 51-100
    Mar 28, 2017 to Jan 17, 2018
  • State-registered IARs · 3 to 2
    Mar 28, 2017 to Jan 17, 2018
  • Other offices · unset to 2.0
    Mar 28, 2017 to Jan 17, 2018
  • HNW RAUM · unset to 65466068.0
    Mar 28, 2017 to Jan 17, 2018
  • Individual RAUM · unset to 1369894.0
    Mar 28, 2017 to Jan 17, 2018
  • Non-discretionary RAUM · $151M to $176M
    Mar 28, 2017 to Jan 17, 2018
  • RAUM · $151M to $176M
    Mar 28, 2017 to Jan 17, 2018
  • Accounts · 109 to 108
    Jun 15, 2016 to Mar 28, 2017
  • Employees · 16 to 18
    Jun 15, 2016 to Mar 28, 2017
  • Non-discretionary RAUM · $46.3M to $151M
    Jun 15, 2016 to Mar 28, 2017
  • RAUM · $46.3M to $151M
    Jun 15, 2016 to Mar 28, 2017
  • Accounts · 94 to 109
    Aug 28, 2015 to Mar 22, 2016
  • Employees · 15 to 16
    Aug 28, 2015 to Mar 22, 2016
  • Non-discretionary RAUM · $43.1M to $46.3M
    Aug 28, 2015 to Mar 22, 2016
  • RAUM · $43.1M to $46.3M
    Aug 28, 2015 to Mar 22, 2016
  • Accounts · 65 to 94
    Nov 25, 2014 to Feb 4, 2015
  • Employees · 10 to 15
    Nov 25, 2014 to Feb 4, 2015
  • Financial planning clients · 51-100 to 26-50
    Nov 25, 2014 to Feb 4, 2015
  • State-registered IARs · 2 to 3
    Nov 25, 2014 to Feb 4, 2015
  • Non-discretionary RAUM · $36.8M to $43.1M
    Nov 25, 2014 to Feb 4, 2015
  • RAUM · $36.8M to $43.1M
    Nov 25, 2014 to Feb 4, 2015
  • Accounts · 79 to 65
    Oct 23, 2013 to Mar 27, 2014
  • State-registered IARs · 0 to 2
    Oct 23, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $52.8M to $36.8M
    Oct 23, 2013 to Mar 27, 2014
  • RAUM · $52.8M to $36.8M
    Oct 23, 2013 to Mar 27, 2014
  • Accounts · 51 to 79
    Mar 5, 2013 to Mar 25, 2013
  • Non-discretionary RAUM · $34.7M to $52.8M
    Mar 5, 2013 to Mar 25, 2013
  • RAUM · $34.7M to $52.8M
    Mar 5, 2013 to Mar 25, 2013
  • Advisory employees · unset to 7.0
    Oct 8, 2012 to Mar 5, 2013
  • Employees · unset to 10.0
    Oct 8, 2012 to Mar 5, 2013
Signals
No event on the tape.
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