DFX Intelligence

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SEC-registered adviser

A••••• C•••••• M••••••••• L••

Independent wealth managerIthaca, New YorkCRD 124600SEC 801-79631website IAPD

Latest filing Apr 15, 2026

First filing on the tape Apr 14, 2014 · 19 filings

SEC status approved since Apr 21, 2014

RAUM

$61.2M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$57.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$61.2M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$61.2M as of Apr 15, 2026

Feb 21, 2015$33.8M then

HNW client RAUM$37.8M as of Apr 15, 2026

Feb 27, 2018$28.2M then

State-registered IARs (5.B.3)2 as of Apr 15, 2026

Feb 21, 20152 then

Employees (5.A)3 as of Apr 15, 2026

Feb 21, 20155 then

Private funds: no history

RAUM +21% over the last fiscal year+18% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Apr 15, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $61.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 69derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $712,321derivedHNW RAUM over HNW clients
Average account: $873,664derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +103%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 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

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

High-net-worth individuals$37.8M62%
Individuals$19.4M32%
Charitable organizations$4.0M6.6%

Individual clients: 16reported
HNW clients: 53reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 70reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A••• C•••••••• C•••••••Certified Financial Planner	Ithaca, Ny	Apr 2, 2008	42 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

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•••••••• A•••• C•••••••• · Managing Member/President/ Chief Compliance Officercontrol
since 08/2007 · owns 75% or more

Related persons

Schedule D 7.A

A••• C• C•••••••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Apr 15, 2026
HNW share of RAUM moved from 77.0% to 62.0% between the annual amendments of 2025-02-11 and 2026-04-15
peers: independent wealth managers, under $100M (708)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 73 to 70
Feb 11, 2025 to Jan 26, 2026
Advisory employees · 2 to 3
Feb 11, 2025 to Jan 26, 2026
HNW clients · 17 to 53
Feb 11, 2025 to Jan 26, 2026
Individual clients · 17 to 16
Feb 11, 2025 to Jan 26, 2026
Employees · 4 to 3
Feb 11, 2025 to Jan 26, 2026
Financial planning clients · 11-25 to 51-100
Feb 11, 2025 to Jan 26, 2026
Discretionary RAUM · $50.4M to $61.2M
Feb 11, 2025 to Jan 26, 2026
HNW RAUM · $38.7M to $37.8M
Feb 11, 2025 to Jan 26, 2026
Individual RAUM · $8.6M to $19.4M
Feb 11, 2025 to Jan 26, 2026
RAUM · $50.4M to $61.2M
Feb 11, 2025 to Jan 26, 2026
Accounts · 41 to 73
Jun 10, 2024 to Feb 11, 2025
Advisory employees · 3 to 2
Jun 10, 2024 to Feb 11, 2025
HNW clients · 16 to 17
Jun 10, 2024 to Feb 11, 2025
Individual clients · 24 to 17
Jun 10, 2024 to Feb 11, 2025
Employees · 3 to 4
Jun 10, 2024 to Feb 11, 2025
Financial planning clients · 1-10 to 11-25
Jun 10, 2024 to Feb 11, 2025
State-registered IARs · 1 to 2
Jun 10, 2024 to Feb 11, 2025
Discretionary RAUM · $42.8M to $50.4M
Jun 10, 2024 to Feb 11, 2025
HNW RAUM · $29.1M to $38.7M
Jun 10, 2024 to Feb 11, 2025
Individual RAUM · $11.3M to $8.6M
Jun 10, 2024 to Feb 11, 2025
RAUM · $42.8M to $50.4M
Jun 10, 2024 to Feb 11, 2025
Accounts · 43 to 41
Mar 16, 2023 to Feb 1, 2024
Charity clients · 2 to 1
Mar 16, 2023 to Feb 1, 2024
HNW clients · 9 to 16
Mar 16, 2023 to Feb 1, 2024
Individual clients · 32 to 24
Mar 16, 2023 to Feb 1, 2024
Financial planning clients · 26-50 to 1-10
Mar 16, 2023 to Feb 1, 2024
Discretionary RAUM · $37.5M to $42.8M
Mar 16, 2023 to Feb 1, 2024
HNW RAUM · $22.9M to $29.1M
Mar 16, 2023 to Feb 1, 2024
Individual RAUM · $12.4M to $11.3M
Mar 16, 2023 to Feb 1, 2024
RAUM · $37.5M to $42.8M
Mar 16, 2023 to Feb 1, 2024
Accounts · 86 to 43
Feb 7, 2022 to Mar 16, 2023
HNW clients · 42 to 9
Feb 7, 2022 to Mar 16, 2023
Individual clients · 40 to 32
Feb 7, 2022 to Mar 16, 2023
Financial planning clients · 51-100 to 26-50
Feb 7, 2022 to Mar 16, 2023
Discretionary RAUM · $47.7M to $37.5M
Feb 7, 2022 to Mar 16, 2023
HNW RAUM · $36.6M to $22.9M
Feb 7, 2022 to Mar 16, 2023
Individual RAUM · $8.3M to $12.4M
Feb 7, 2022 to Mar 16, 2023
Non-discretionary RAUM · $3.1M to $0
Feb 7, 2022 to Mar 16, 2023
RAUM · $50.8M to $37.5M
Feb 7, 2022 to Mar 16, 2023
Accounts · 81 to 86
Mar 2, 2021 to Feb 7, 2022

Signals

2 dated events

Norman William Chernish (Executive Vice President, Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2021-03-02, absent 2022-02-07)
Feb 7, 2022 · Control person left · inference
A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Apr 14, 2014 · 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

Website: A•••••ITHACA.COMreportedpublic record, Form ADV, Apr 15, 2026
Principal office phone: 607.272.0004reportedpublic record, Form ADV, Apr 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: $61.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026