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
Fmf&E Wealth Management, LLC
Latest filing Jun 14, 2024
First filing on the tape Mar 2, 2012 · 21 filings
RAUM
$358M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$315M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$358M as of Mar 13, 2024
Mar 2, 2012$87.7M then
HNW client RAUM$257M as of Mar 13, 2024
Mar 9, 2018$179M then
State-registered IARs (5.B.3)3 as of Mar 13, 2024
Mar 2, 20120 then
Employees (5.A)3 as of Mar 13, 2024
Mar 7, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+8.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 14, 2024; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $516,822derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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$257M72%
- Individuals$57.8M16%
- Pension and profit-sharing plans$31.1M8.7%
- Corporations and businesses$5.9M1.7%
- Charitable organizations$5.7M1.6%
- Individual clients
- 203reported
- HNW clients
- 82reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 692reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Jeffrey Michael Campbell to Parkwoods Wealth Partners, LLCSep 27, 2024 · RIA to RIA
- Christopher Hovey Gardner to Parkwoods Wealth Partners, LLCSep 27, 2024 · RIA to RIA
- April Marie Mueller to Parkwoods Wealth Partners, LLCSep 27, 2024 · RIA to RIA
Joined, latest
- Jeffrey Michael Campbell from Truist Securities, Inc.Apr 13, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Parkwoods Wealth Partners, LLCSep 27, 2024 · Syracuse, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Hovey Christopher Gardner · President & Chief Compliance Officercontrolsince 12/2007 · owns less than 5%
- Hovey Christopher Gardner · Membercontrolsince 04/2024 · owns 25% to 50% of Parkwoods Wealth Partners, LLC
- Alfred Sears · Trusteecontrolsince 04/2013 · owns F of Alfred Sears Revocable Trust
Entity owners
- Parkwoods Wealth Partners, LLC · Ownerdirect · owns 75% or more
- Alfred Sears Revocable Trust · Ownerindirect · owns 25% to 50% of Parkwoods Wealth Partners, LLC
Related persons
Schedule D 7.A
- Firley, Moran, Freer & Eassa, P.C.insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 674 to 692Aug 29, 2023 to Mar 13, 2024
- Corporate clients · 3 to 4Aug 29, 2023 to Mar 13, 2024
- HNW clients · 84 to 82Aug 29, 2023 to Mar 13, 2024
- Individual clients · 199 to 203Aug 29, 2023 to Mar 13, 2024
- Pension plan clients · 4 to 3Aug 29, 2023 to Mar 13, 2024
- Employees · 4 to 3Aug 29, 2023 to Mar 13, 2024
- Discretionary RAUM · $316M to $357MAug 29, 2023 to Mar 13, 2024
- HNW RAUM · $230M to $257MAug 29, 2023 to Mar 13, 2024
- Individual RAUM · $47.1M to $57.8MAug 29, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $337,346 to $360,013Aug 29, 2023 to Mar 13, 2024
- Pension RAUM · $30.2M to $31.1MAug 29, 2023 to Mar 13, 2024
- RAUM · $317M to $358MAug 29, 2023 to Mar 13, 2024
- Accounts · 646 to 674Mar 17, 2022 to Mar 23, 2023
- Corporate clients · 2 to 3Mar 17, 2022 to Mar 23, 2023
- Individual clients · 237 to 199Mar 17, 2022 to Mar 23, 2023
- Pension plan clients · 1 to 4Mar 17, 2022 to Mar 23, 2023
- Financial planning clients · 0 to unsetMar 17, 2022 to Mar 23, 2023
- Discretionary RAUM · $340M to $316MMar 17, 2022 to Mar 23, 2023
- HNW RAUM · $256M to $230MMar 17, 2022 to Mar 23, 2023
- Individual RAUM · $75.4M to $47.1MMar 17, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $397,004 to $337,346Mar 17, 2022 to Mar 23, 2023
- Pension RAUM · $410,987 to $30.2MMar 17, 2022 to Mar 23, 2023
- RAUM · $341M to $317MMar 17, 2022 to Mar 23, 2023
- Accounts · 628 to 646Mar 7, 2021 to Mar 17, 2022
- Corporate clients · 1 to 2Mar 7, 2021 to Mar 17, 2022
- HNW clients · 86 to 84Mar 7, 2021 to Mar 17, 2022
- Individual clients · 236 to 237Mar 7, 2021 to Mar 17, 2022
- Discretionary RAUM · $280M to $340MMar 7, 2021 to Mar 17, 2022
- HNW RAUM · $204M to $256MMar 7, 2021 to Mar 17, 2022
- Individual RAUM · $51.5M to $75.4MMar 7, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $351,288 to $397,004Mar 7, 2021 to Mar 17, 2022
- Pension RAUM · $19.0M to $410,987Mar 7, 2021 to Mar 17, 2022
- RAUM · $281M to $341MMar 7, 2021 to Mar 17, 2022
- Accounts · 586 to 628Jun 15, 2020 to Mar 7, 2021
- HNW clients · 84 to 86Jun 15, 2020 to Mar 7, 2021
- Individual clients · 217 to 236Jun 15, 2020 to Mar 7, 2021
- Pension plan clients · 2 to 1Jun 15, 2020 to Mar 7, 2021
- Discretionary RAUM · $262M to $280MJun 15, 2020 to Mar 7, 2021
- HNW RAUM · $184M to $204MJun 15, 2020 to Mar 7, 2021
- Individual RAUM · $54.0M to $51.5MJun 15, 2020 to Mar 7, 2021
Signals
6 dated events
- April Marie Mueller left Fmf&E Wealth Management, Llc for Parkwoods Wealth Partners, Llc (registered 2024-09-27)Sep 27, 2024 · Advisor changed firm · fact
- Jeffrey Michael Campbell left Fmf&E Wealth Management, Llc for Parkwoods Wealth Partners, Llc (registered 2024-09-27)Sep 27, 2024 · Advisor changed firm · fact
- Christopher Hovey Gardner left Fmf&E Wealth Management, Llc for Parkwoods Wealth Partners, Llc (registered 2024-09-27)Sep 27, 2024 · Advisor changed firm · fact
- Fmf&E Wealth Management, LLC's advisors moved to Parkwoods Wealth Partners, LLC (Syracuse, NY): 3 of 3 registered, on the same daySep 27, 2024 · Firm absorbed (people side) · derived
- Alfred Sears (Trustee) appeared on Schedule A of Fmf&E Wealth Management, LlcJun 14, 2024 · Control person joined · fact
- Edwin Robert Macleod (Managing Member) no longer on Schedule A of Fmf&E Wealth Management, Llc (listed 2024-03-13, absent 2024-06-14)Jun 14, 2024 · 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.
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