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.
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SEC-registered adviser
C•••••• F•••••••• A••••••• O• N•• Y•••• L••
Latest filing Mar 13, 2026
First filing on the tape Apr 3, 2012 · 20 filings
SEC status approved since Apr 2, 2008
RAUM
$260M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$260M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$260M as of Mar 13, 2026
Apr 3, 2012$64.5M then
HNW client RAUM$220M as of Mar 13, 2026
Mar 28, 2018$37.5M then
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Apr 3, 20120 then
Employees (5.A)1 as of Mar 13, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- 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
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $440,678derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$220M85%
- Individuals$40.0M15%
- Individual clients
- 57reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 590reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• J•••••••Certified Financial Planner | Clifton Park, Ny | Aug 11, 2021 | 15 y | 0 |
| K•••• G••••• M•••Certified Financial Planner | Clifton Park, Ny | Aug 13, 2021 | 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• S••••••• L••••• · Chief Compliance Officercontrolsince 08/2017 · owns 25% to 50%
- M•••• K••••• G••••• · Membercontrolsince 01/2011 · 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 |
|---|---|---|---|---|---|
| Clifton Park, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 542 to 590Mar 25, 2025 to Mar 13, 2026
- HNW clients · 88 to 87Mar 25, 2025 to Mar 13, 2026
- Individual clients · 58 to 57Mar 25, 2025 to Mar 13, 2026
- Discretionary RAUM · $232M to $260MMar 25, 2025 to Mar 13, 2026
- HNW RAUM · $194M to $220MMar 25, 2025 to Mar 13, 2026
- Individual RAUM · $38.0M to $40.0MMar 25, 2025 to Mar 13, 2026
- RAUM · $232M to $260MMar 25, 2025 to Mar 13, 2026
- Accounts · 568 to 542Mar 26, 2024 to Mar 25, 2025
- HNW clients · 78 to 88Mar 26, 2024 to Mar 25, 2025
- Individual clients · 48 to 58Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $217M to $232MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $184M to $194MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $33.0M to $38.0MMar 26, 2024 to Mar 25, 2025
- RAUM · $217M to $232MMar 26, 2024 to Mar 25, 2025
- Accounts · 449 to 568Mar 23, 2023 to Mar 26, 2024
- HNW clients · 68 to 78Mar 23, 2023 to Mar 26, 2024
- Individual clients · 45 to 48Mar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $165M to $217MMar 23, 2023 to Mar 26, 2024
- HNW RAUM · $135M to $184MMar 23, 2023 to Mar 26, 2024
- Individual RAUM · $30.0M to $33.0MMar 23, 2023 to Mar 26, 2024
- RAUM · $165M to $217MMar 23, 2023 to Mar 26, 2024
- Accounts · 446 to 449Mar 24, 2022 to Mar 23, 2023
- HNW clients · 66 to 68Mar 24, 2022 to Mar 23, 2023
- Individual clients · 39 to 45Mar 24, 2022 to Mar 23, 2023
- Employees · 2 to 1Mar 24, 2022 to Mar 23, 2023
- Discretionary RAUM · $184M to $165MMar 24, 2022 to Mar 23, 2023
- HNW RAUM · $149M to $135MMar 24, 2022 to Mar 23, 2023
- Individual RAUM · $35.0M to $30.0MMar 24, 2022 to Mar 23, 2023
- RAUM · $184M to $165MMar 24, 2022 to Mar 23, 2023
- Related insurance company · true to falseMar 24, 2022 to Mar 23, 2023
- Accounts · 424 to 446Mar 22, 2021 to Mar 24, 2022
- Advisory employees · 1 to 0Mar 22, 2021 to Mar 24, 2022
- HNW clients · 70 to 66Mar 22, 2021 to Mar 24, 2022
- Employees · 1 to 2Mar 22, 2021 to Mar 24, 2022
- Discretionary RAUM · $175M to $184MMar 22, 2021 to Mar 24, 2022
- HNW RAUM · $140M to $149MMar 22, 2021 to Mar 24, 2022
- RAUM · $175M to $184MMar 22, 2021 to Mar 24, 2022
- Accounts · 450 to 424Jun 30, 2020 to Mar 22, 2021
- HNW clients · 63 to 70Jun 30, 2020 to Mar 22, 2021
Signals
2 dated events
- Aldrich Walton Williams (Member) no longer on Schedule A of C•••••• F•••••••• A••••••• O• N•• Y•••• L•• (listed 2021-03-22, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Joseph Paul Corr (Member) no longer on Schedule A of C•••••• F•••••••• A••••••• O• N•• Y•••• L•• (listed 2021-03-22, absent 2022-03-24)Mar 24, 2022 · 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 email
- j•••••••••@c••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-280-0030reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-280-0030reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- c••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c••••.comreportedpublished by the firm, firm site, Sep 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026