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C•••• W••••• M•••••••••

Independent wealth managerSEC-registered· Ballston Spa, New Yorkwebsite

Independent wealth manager, based in Ballston Spa, New York, reporting $254M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $254M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +23%
Private clients: 94% of RAUM, $238M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-07-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +23% over the last fiscal year, to $254M.
2026-07-17
RAUM a year earlier $206MRAUM now $254M
accounts (Item 5.F.2.f) moved from 911.0 to 447.0 (-51.0%) between the annual amendments of 2025-03-26 and 2026-01-27; the peer median change was +5.0% (3685 comparable advisers, 3.0th percentile of changes)
2026-01-27
accounts (Item 5.F.2.f) 447Peer median 0.0453296703296703
6 published business contact points are on record, each with its source.
Contact points 6

Every filed figure, and the identifiersCRD 118945 · SEC 801-68026 · 21 filingsShow

CRD 118945SEC 801-68026Legal name C•••• F•••••••• M••••••••• I•••First filing on the tape Nov 17, 2011, latest Jul 17, 2026SEC status approved since Jun 14, 2007IAPD

RAUM

$254M

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

94%

$238M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$84.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$254M as of Jul 17, 2026

Jan 10, 2012$46.7M then

HNW client RAUM$216M as of Jul 17, 2026

Feb 11, 2021$80.0M then

State-registered IARs (5.B.3)3 as of Jul 17, 2026

Jan 10, 20120 then

Employees (5.A)5 as of Jul 17, 2026

Jan 16, 20136 then

Private funds: no history

RAUM +23% over the last fiscal year+22% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Jul 17, 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

RAUM per advisor: $84.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 148derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $568,172derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%derivedof RAUM
Institutional: 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.2%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, 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

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$216M85%
Individuals$22.2M8.8%
Pension and profit-sharing plans$14.9M5.9%
Charitable organizations$625,2340.2%

Individual clients: 248reported
HNW clients: 195reported
Pension plan clients: 30reported
Charitable clients: 2reported
Accounts: 447reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
J••••• W•••••• C••••Certified Financial Planner	Ballston Spa, Ny	Dec 5, 2024	12 y
E••••• J••••• C••••Certified Financial Planner	Ballston Spa, Ny	Dec 6, 2024	12 y
W•••••• J••••• C••••Certified Financial Planner	Ballston Spa, Ny	Dec 6, 2024	30 y

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••• W••••••• J••••• · Chief Compliance Officercontrol
since 01/2001 · owns 75% or more
C••••• E•••••• J••••• · Investment Advisor Representative
since 12/2017 · owns 5% to 10%
C••••• J•••••• W•••••• · Investment Advisor Representative
since 12/2019 · owns 5% to 10%

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
Ballston Spa, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

Naples, FL3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Jan 27, 2026
accounts (Item 5.F.2.f) moved from 911.0 to 447.0 (-51.0%) between the annual amendments of 2025-03-26 and 2026-01-27; the peer median change was +5.0% (3685 comparable advisers, 3.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 3.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Business name · C•••• F•••••••• M••••••••• I••• to C•••• W••••• M•••••••••
Jan 27, 2026 to Jul 17, 2026
Accounts · 911 to 447
Mar 26, 2025 to Jan 27, 2026
HNW clients · 138 to 195
Mar 26, 2025 to Jan 27, 2026
Individual clients · 306 to 248
Mar 26, 2025 to Jan 27, 2026
Pension plan clients · 23 to 30
Mar 26, 2025 to Jan 27, 2026
Discretionary RAUM · $192M to $239M
Mar 26, 2025 to Jan 27, 2026
HNW RAUM · $161M to $216M
Mar 26, 2025 to Jan 27, 2026
Individual RAUM · $29.5M to $22.2M
Mar 26, 2025 to Jan 27, 2026
Non-discretionary RAUM · $14.2M to $14.9M
Mar 26, 2025 to Jan 27, 2026
Pension RAUM · $14.2M to $14.9M
Mar 26, 2025 to Jan 27, 2026
RAUM · $206M to $254M
Mar 26, 2025 to Jan 27, 2026
Accounts · 462 to 911
Jan 30, 2024 to Mar 26, 2025
Advisory employees · 5 to 3
Jan 30, 2024 to Mar 26, 2025
HNW clients · 109 to 138
Jan 30, 2024 to Mar 26, 2025
Individual clients · 324 to 306
Jan 30, 2024 to Mar 26, 2025
Pension plan clients · 1 to 23
Jan 30, 2024 to Mar 26, 2025
Financial planning clients · 251-500 to 251-500
Jan 30, 2024 to Mar 26, 2025
State-registered IARs · 5 to 3
Jan 30, 2024 to Mar 26, 2025
Other offices · 1 to 0
Jan 30, 2024 to Mar 26, 2025
Discretionary RAUM · $152M to $192M
Jan 30, 2024 to Mar 26, 2025
HNW RAUM · $117M to $161M
Jan 30, 2024 to Mar 26, 2025
Individual RAUM · $34.8M to $29.5M
Jan 30, 2024 to Mar 26, 2025
Non-discretionary RAUM · $13.2M to $14.2M
Jan 30, 2024 to Mar 26, 2025
Pension RAUM · $13.2M to $14.2M
Jan 30, 2024 to Mar 26, 2025
RAUM · $165M to $206M
Jan 30, 2024 to Mar 26, 2025
Accounts · 868 to 462
Mar 31, 2023 to Jan 30, 2024
Advisory employees · 3 to 5
Mar 31, 2023 to Jan 30, 2024
HNW clients · 98 to 109
Mar 31, 2023 to Jan 30, 2024
Individual clients · 345 to 324
Mar 31, 2023 to Jan 30, 2024
Employees · 3 to 5
Mar 31, 2023 to Jan 30, 2024
State-registered IARs · 3 to 5
Mar 31, 2023 to Jan 30, 2024
Discretionary RAUM · $128M to $152M
Mar 31, 2023 to Jan 30, 2024
HNW RAUM · $98.1M to $117M
Mar 31, 2023 to Jan 30, 2024
Individual RAUM · $29.5M to $34.8M
Mar 31, 2023 to Jan 30, 2024
Non-discretionary RAUM · $12.7M to $13.2M
Mar 31, 2023 to Jan 30, 2024
Pension RAUM · $12.7M to $13.2M
Mar 31, 2023 to Jan 30, 2024
RAUM · $141M to $165M
Mar 31, 2023 to Jan 30, 2024
Accounts · 395 to 868
Feb 21, 2022 to Mar 31, 2023
Advisory employees · 4 to 3
Feb 21, 2022 to Mar 31, 2023
HNW clients · 90 to 98
Feb 21, 2022 to Mar 31, 2023

Signals

1 dated events

••• Locked
Mar 31, 2023 · Control person left · inference

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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $84.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026