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••••••••• A•••• M••••••••• I•••
Latest filing Feb 17, 2026
First filing on the tape Apr 12, 2018 · 15 filings
SEC status approved since May 7, 2018
RAUM
$79.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$79.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$79.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$79.3M as of Feb 17, 2026
Feb 15, 2019$35.6M then
HNW client RAUM$65.3M as of Feb 17, 2026
Feb 15, 2019$24.5M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Feb 15, 20190 then
Employees (5.A)1 as of Feb 17, 2026
Feb 15, 20191 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- $79.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $469,193derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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$65.3M82%
- Individuals$13.8M17%
- Pension and profit-sharing plans$265,5510.3%
- Individual clients
- 42reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 169reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• H••••• D••••Chartered Financial Analyst | Fayetteville, Ny | Jun 30, 2021 | 23 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
- D••••• C••••••••• H••••• · President, Chief Compliance Officercontrolsince 10/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 63 to 169Dec 8, 2025 to Feb 17, 2026
- HNW clients · 20 to 22Dec 8, 2025 to Feb 17, 2026
- Individual clients · 41 to 42Dec 8, 2025 to Feb 17, 2026
- Discretionary RAUM · $71.4M to $79.3MDec 8, 2025 to Feb 17, 2026
- HNW RAUM · $54.8M to $65.3MDec 8, 2025 to Feb 17, 2026
- Individual RAUM · $15.4M to $13.8MDec 8, 2025 to Feb 17, 2026
- Pension RAUM · $1.3M to $265,551Dec 8, 2025 to Feb 17, 2026
- RAUM · $71.4M to $79.3MDec 8, 2025 to Feb 17, 2026
- Accounts · 153 to 63Jul 31, 2024 to Mar 14, 2025
- HNW clients · 17 to 20Jul 31, 2024 to Mar 14, 2025
- Financial planning clients · unset to Jul 31, 2024 to Mar 14, 2025
- Discretionary RAUM · $56.4M to $71.4MJul 31, 2024 to Mar 14, 2025
- HNW RAUM · $42.4M to $54.8MJul 31, 2024 to Mar 14, 2025
- Individual RAUM · $13.6M to $15.4MJul 31, 2024 to Mar 14, 2025
- Pension RAUM · $375,266 to $1.3MJul 31, 2024 to Mar 14, 2025
- RAUM · $56.4M to $71.4MJul 31, 2024 to Mar 14, 2025
- Accounts · 54 to 153Feb 7, 2023 to Jan 19, 2024
- Individual clients · 36 to 41Feb 7, 2023 to Jan 19, 2024
- State-registered IARs · 0 to 1Feb 7, 2023 to Jan 19, 2024
- Discretionary RAUM · $50.1M to $56.4MFeb 7, 2023 to Jan 19, 2024
- HNW RAUM · $38.6M to $42.4MFeb 7, 2023 to Jan 19, 2024
- Individual RAUM · $11.1M to $13.6MFeb 7, 2023 to Jan 19, 2024
- Pension RAUM · $359,510 to $375,266Feb 7, 2023 to Jan 19, 2024
- RAUM · $50.1M to $56.4MFeb 7, 2023 to Jan 19, 2024
- Discretionary RAUM · $43.8M to $50.1MFeb 15, 2022 to Feb 7, 2023
- HNW RAUM · $10.0M to $38.6MFeb 15, 2022 to Feb 7, 2023
- Individual RAUM · $33.5M to $11.1MFeb 15, 2022 to Feb 7, 2023
- Pension RAUM · $315,437 to $359,510Feb 15, 2022 to Feb 7, 2023
- RAUM · $43.8M to $50.1MFeb 15, 2022 to Feb 7, 2023
- Accounts · 126 to 54Feb 15, 2022 to Feb 7, 2023
- HNW clients · 35 to 17Feb 15, 2022 to Feb 7, 2023
- Individual clients · 15 to 36Feb 15, 2022 to Feb 7, 2023
- Accounts · 135 to 126Sep 27, 2021 to Feb 15, 2022
- HNW clients · 18 to 35Sep 27, 2021 to Feb 15, 2022
- Individual clients · 37 to 15Sep 27, 2021 to Feb 15, 2022
- Discretionary RAUM · $44.8M to $43.8MSep 27, 2021 to Feb 15, 2022
- HNW RAUM · $35.2M to $10.0MSep 27, 2021 to Feb 15, 2022
- Individual RAUM · $9.3M to $33.5MSep 27, 2021 to Feb 15, 2022
- Pension RAUM · $292,648 to $315,437Sep 27, 2021 to Feb 15, 2022
- RAUM · $44.8M to $43.8MSep 27, 2021 to Feb 15, 2022
Signals
1 dated events
- C••••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 12, 2018 · 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
- C•••••••••ASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 315 396-8335reportedpublic record, Form ADV, Feb 17, 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
- $79.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026