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
Etfidea, LLC
Latest filing Mar 29, 2024
First filing on the tape Mar 26, 2012 · 16 filings
RAUM
$393M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$373M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$393M as of Mar 29, 2024
Mar 26, 2012$50.4M then
HNW client RAUM$175M as of Mar 29, 2024
Mar 26, 2018$157M then
State-registered IARs (5.B.3)6 as of Mar 29, 2024
Mar 26, 20136 then
Employees (5.A)7 as of Mar 29, 2024
Mar 26, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+4.1% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $35.0MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 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
- -6.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $387MreportedItem 5.I
- 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
- Individuals$198M50%
- High-net-worth individuals$175M45%
- Pension and profit-sharing plans$14.1M3.6%
- Corporations and businesses$6.1M1.6%
- Individual clients
- 234reported
- HNW clients
- 5reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 267reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $387M sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
Left, latest
- William Thomas Kriesel to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
- Katelyn M Kriesel to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
- Laurie Jean Podvin to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
- Michael George Davirro to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
- George Clayton Nardone to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
- Kevin Anthony Visconti to Commonwealth Financial NetworkNov 5, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- Katelyn M Kriesel from Cadaret Grant & Co IncJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- George Clayton Nardone from Cadaret Grant & Co IncJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- Kevin Anthony Visconti from Cadaret Grant & Co IncJun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- Michael George Davirro from Cadaret Grant & Co IncMay 12, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Commonwealth Financial NetworkNov 5, 2024 · Syracuse, Ny · Firm absorbed
- 3 joined from Cadaret Grant & Co IncOct 2, 2024 · Syracuse, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Michael Davirro · Membercontrolsince 11/2015 · owns 25% to 50%
- Thomas William Kriesel · Chief Compliance Officer - Managing Membercontrolsince 06/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- Bowers And Company, Cpas, Pllcinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 0 | 0 | 0 | ||
| Manlius, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 268 to 267Aug 21, 2023 to Mar 29, 2024
- Corporate clients · 5 to 6Aug 21, 2023 to Mar 29, 2024
- Individual clients · 251 to 234Aug 21, 2023 to Mar 29, 2024
- Pension plan clients · 7 to 22Aug 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $318M to $392MAug 21, 2023 to Mar 29, 2024
- HNW RAUM · $149M to $175MAug 21, 2023 to Mar 29, 2024
- Individual RAUM · $160M to $198MAug 21, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $965,738 to $1.2MAug 21, 2023 to Mar 29, 2024
- Pension RAUM · $5.5M to $14.1MAug 21, 2023 to Mar 29, 2024
- RAUM · $319M to $393MAug 21, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · $319M to $387MAug 21, 2023 to Mar 29, 2024
- Accounts · 277 to 268Mar 2, 2022 to Mar 9, 2023
- HNW clients · 42 to 5Mar 2, 2022 to Mar 9, 2023
- Individual clients · 220 to 251Mar 2, 2022 to Mar 9, 2023
- Pension plan clients · 10 to 7Mar 2, 2022 to Mar 9, 2023
- Discretionary RAUM · $334M to $318MMar 2, 2022 to Mar 9, 2023
- HNW RAUM · $234M to $149MMar 2, 2022 to Mar 9, 2023
- Individual RAUM · $85.7M to $160MMar 2, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $2.3M to $965,738Mar 2, 2022 to Mar 9, 2023
- Pension RAUM · $11.8M to $5.5MMar 2, 2022 to Mar 9, 2023
- RAUM · $336M to $319MMar 2, 2022 to Mar 9, 2023
- Wrap assets (sponsor) · $334M to $319MMar 2, 2022 to Mar 9, 2023
- Accounts · 561 to 277Mar 26, 2021 to Mar 2, 2022
- Advisory employees · 3 to 4Mar 26, 2021 to Mar 2, 2022
- BD registered reps · 5 to 6Mar 26, 2021 to Mar 2, 2022
- Corporate clients · 6 to 5Mar 26, 2021 to Mar 2, 2022
- HNW clients · 250 to 42Mar 26, 2021 to Mar 2, 2022
- Individual clients · 280 to 220Mar 26, 2021 to Mar 2, 2022
- Pension plan clients · 25 to 10Mar 26, 2021 to Mar 2, 2022
- Employees · 6 to 7Mar 26, 2021 to Mar 2, 2022
- Insurance-licensed employees · 3 to 2Mar 26, 2021 to Mar 2, 2022
- Financial planning clients · More than 500 to 251-500Mar 26, 2021 to Mar 2, 2022
- State-registered IARs · 5 to 6Mar 26, 2021 to Mar 2, 2022
- Discretionary RAUM · $274M to $334MMar 26, 2021 to Mar 2, 2022
- HNW RAUM · $258M to $234MMar 26, 2021 to Mar 2, 2022
- Individual RAUM · $64.4M to $85.7MMar 26, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $73.7M to $2.3MMar 26, 2021 to Mar 2, 2022
- Pension RAUM · $21.8M to $11.8MMar 26, 2021 to Mar 2, 2022
- RAUM · $348M to $336MMar 26, 2021 to Mar 2, 2022
- Wrap assets (sponsor) · $269M to $334MMar 26, 2021 to Mar 2, 2022
Signals
8 dated events
- Katelyn M Kriesel left Etfidea, Llc for Commonwealth Financial Network (registered 2024-09-30)Nov 5, 2024 · Advisor changed firm · fact
- Michael George Davirro left Etfidea, Llc for Commonwealth Financial Network (registered 2024-09-30)Nov 5, 2024 · Advisor changed firm · fact
- Laurie Jean Podvin left Etfidea, Llc for Commonwealth Financial Network (registered 2024-10-31)Nov 5, 2024 · Advisor changed firm · fact
- William Thomas Kriesel left Etfidea, Llc for Commonwealth Financial Network (registered 2024-09-30)Nov 5, 2024 · Advisor changed firm · fact
- George Clayton Nardone left Etfidea, Llc for Commonwealth Financial Network (registered 2024-09-30)Nov 5, 2024 · Advisor changed firm · fact
- Kevin Anthony Visconti left Etfidea, Llc for Commonwealth Financial Network (registered 2024-09-30)Nov 5, 2024 · Advisor changed firm · fact
- Etfidea, LLC's advisors moved to Commonwealth Financial Network (Syracuse, NY): 6 of 6 registered, on the same dayNov 5, 2024 · Firm absorbed (people side) · derived
- 3 advisors left Cadaret Grant & CO Inc (Syracuse, NY) for Etfidea, LLC on the same dayOct 2, 2024 · Team lift-out · derived
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