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.
SEC-registered adviser
Taconic Advisors
Legal name Taconic Advisors Inc.
Latest filing Jul 9, 2026
First filing on the tape May 5, 2022 · 12 filings
SEC status approved since Jun 3, 2022
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$246M as of Jul 9, 2026
Feb 21, 2023$156M then
HNW client RAUM$231M as of Jul 9, 2026
Feb 21, 2023$152M then
State-registered IARs (5.B.3)3 as of Jul 9, 2026
Feb 21, 20233 then
Employees (5.A)5 as of Jul 9, 2026
Feb 21, 20235 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 4 to 3offices 3 to 2
Practice profile
derived from the filing of Jul 9, 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
- RAUM per advisor
- $82.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $411,815derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $236M, 130 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$231M94%
- Individuals$15.5M6.3%
- Individual clients
- 26reported
- HNW clients
- 107reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 598reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $236M for 130 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 | Prior firms |
|---|---|---|---|---|
| John Alexander KellyCertified Financial Planner | Saugerties, Ny | Jun 17, 2021 | 16 y | 2 |
| Meredith Wilson BriggsCertified Financial Planner | Saugerties, Ny | Jun 24, 2021 | 21 y | 2 |
| Rebeca Irene CottonCertified Financial Planner, Chartered Financial Consultant | Saugerties, Ny | Apr 26, 2024 | 19 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
- Carmen David Caruso to Del-Sette Capital Management, LLCJun 20, 2023 · RIA to RIA
- Michael Grady Robertson to Shelterbelt AdvisorsJan 11, 2023 · RIA to a state-registered adviser
Joined, latest
- Carmen David Caruso from Del-Sette Capital Management, LLCNov 15, 2022 · RIA to RIA
- Meredith Wilson Briggs from Advice And Planning ServicesJun 24, 2021 · Other
- John Alexander Kelly from Wells Fargo AdvisorsJun 17, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wilson Meredith Briggs · President/Treasurercontrolsince 08/2016 · owns 75% or more
- Alexander John Kelly · Vice President, Secretary, Chief Compliance Officercontrolsince 02/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Saugerties, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beacon, NY2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 2, 2026 to Jul 9, 2026
- Employees · 6 to 5Mar 2, 2026 to Jul 9, 2026
- State-registered IARs · 4 to 3Mar 2, 2026 to Jul 9, 2026
- Other offices · 3 to 2Mar 2, 2026 to Jul 9, 2026
- Accounts · 549 to 598Feb 21, 2025 to Mar 2, 2026
- HNW clients · 110 to 107Feb 21, 2025 to Mar 2, 2026
- Individual clients · 21 to 26Feb 21, 2025 to Mar 2, 2026
- Assets in custody · $187M to $236MFeb 21, 2025 to Mar 2, 2026
- Discretionary RAUM · $207M to $246MFeb 21, 2025 to Mar 2, 2026
- HNW RAUM · $196M to $231MFeb 21, 2025 to Mar 2, 2026
- Individual RAUM · $11.2M to $15.5MFeb 21, 2025 to Mar 2, 2026
- RAUM · $207M to $246MFeb 21, 2025 to Mar 2, 2026
- Accounts · 519 to 549Sep 4, 2024 to Feb 21, 2025
- HNW clients · 103 to 110Sep 4, 2024 to Feb 21, 2025
- Individual clients · 14 to 21Sep 4, 2024 to Feb 21, 2025
- Assets in custody · $176M to $187MSep 4, 2024 to Feb 21, 2025
- Employees · 7 to 6Sep 4, 2024 to Feb 21, 2025
- Financial planning clients · 101-250 to 101-250Sep 4, 2024 to Feb 21, 2025
- Discretionary RAUM · $179M to $207MSep 4, 2024 to Feb 21, 2025
- HNW RAUM · $174M to $196MSep 4, 2024 to Feb 21, 2025
- Individual RAUM · $5.5M to $11.2MSep 4, 2024 to Feb 21, 2025
- RAUM · $179M to $207MSep 4, 2024 to Feb 21, 2025
- Advisory employees · 3 to 4Feb 20, 2024 to Apr 26, 2024
- State-registered IARs · 3 to 4Feb 20, 2024 to Apr 26, 2024
- Other offices · 2 to 3Feb 20, 2024 to Apr 26, 2024
- Accounts · 484 to 519Oct 27, 2023 to Feb 20, 2024
- HNW clients · 97 to 103Oct 27, 2023 to Feb 20, 2024
- Individual clients · 13 to 14Oct 27, 2023 to Feb 20, 2024
- Assets in custody · $132M to $176MOct 27, 2023 to Feb 20, 2024
- Employees · 5 to 7Oct 27, 2023 to Feb 20, 2024
- Discretionary RAUM · $156M to $179MOct 27, 2023 to Feb 20, 2024
- HNW RAUM · $152M to $174MOct 27, 2023 to Feb 20, 2024
- Individual RAUM · $4.7M to $5.5MOct 27, 2023 to Feb 20, 2024
- RAUM · $156M to $179MOct 27, 2023 to Feb 20, 2024
- Other offices · 1 to 2Feb 21, 2023 to Aug 11, 2023
- Accounts · 395 to 484Nov 2, 2022 to Feb 21, 2023
- Advisory employees · 5 to 3Nov 2, 2022 to Feb 21, 2023
- HNW clients · 69 to 97Nov 2, 2022 to Feb 21, 2023
- Individual clients · 30 to 13Nov 2, 2022 to Feb 21, 2023
- Assets in custody · $48.3M to $132MNov 2, 2022 to Feb 21, 2023
Signals
4 dated events
- Carmen David Caruso left Taconic Advisors for Del-Sette Capital Management, Llc (registered 2023-07-11)Jun 20, 2023 · Advisor changed firm · fact
- Melville Charles Simon (Vice President/Treasurer) no longer on Schedule A of Taconic Advisors (listed 2022-11-02, absent 2023-02-21)Feb 21, 2023 · Control person left · inference
- Michael Grady Robertson left Taconic Advisors for Shelterbelt Advisors (registered 2024-07-29)Jan 11, 2023 · Advisor changed firm · fact
- Taconic Advisors filed its initial SEC registration (Form ADV)May 5, 2022 · First SEC registration · fact
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
- Firm profile
- linkedin.com/company/taconic-advisors-increportedpublic record, Form ADV, Sep 17, 2026
- Website
- TACONICADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 845-486-5039reportedpublic record, Form ADV, Jul 9, 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
- $82.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026