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
N•• H•••••• F•••••••• S••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 2, 2020 · 14 filings
SEC status approved since Apr 1, 2020
RAUM
$217M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
100%
$216M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.4M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$217M as of Mar 3, 2026
Mar 15, 2021$57.0M then
HNW client RAUM$151M as of Mar 3, 2026
Mar 15, 2021$33.4M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Mar 15, 20210 then
Employees (5.A)7 as of Mar 3, 2026
Mar 15, 20217 then
Private funds: no history
RAUM +18% over the last fiscal year+55% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 3, 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
- $72.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $200,894derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M69%
- Individuals$65.8M30%
- Charitable organizations$864,4140.4%
- Individual clients
- 189reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,081reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• A•••••••• S••••••Certified Financial Planner | Ithaca, Ny | Apr 14, 2021 | 41 y | 0 |
| A••••• M•••• O•••••Certified Financial Planner | Ithaca, Ny | Apr 14, 2021 | 28 y | 0 |
| K•••• P•••• T•••••••• | Ithaca, Ny | Jul 21, 2022 | 13 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
- O•••••• A•••••• M•••• · Partnercontrolsince 10/2019 · owns 50% to 75%
- T••••••••• K••••• P•••• · Chief Compliance Officercontrolsince 10/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- P••• S••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ithaca, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 975 to 1,081Dec 3, 2025 to Mar 3, 2026
- Advisory employees · 5 to 6Dec 3, 2025 to Mar 3, 2026
- HNW clients · 69 to 72Dec 3, 2025 to Mar 3, 2026
- Individual clients · 202 to 189Dec 3, 2025 to Mar 3, 2026
- Employees · 6 to 7Dec 3, 2025 to Mar 3, 2026
- Discretionary RAUM · $115M to $161MDec 3, 2025 to Mar 3, 2026
- HNW RAUM · $125M to $151MDec 3, 2025 to Mar 3, 2026
- Individual RAUM · $58.2M to $65.8MDec 3, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $69.2M to $55.9MDec 3, 2025 to Mar 3, 2026
- RAUM · $184M to $217MDec 3, 2025 to Mar 3, 2026
- Employees · 7 to 6Feb 28, 2025 to Dec 3, 2025
- State-registered IARs · 4 to 3Feb 28, 2025 to Dec 3, 2025
- Accounts · 770 to 975Feb 13, 2024 to Feb 28, 2025
- HNW clients · 52 to 69Feb 13, 2024 to Feb 28, 2025
- Individual clients · 189 to 202Feb 13, 2024 to Feb 28, 2025
- Assets in custody · $15.2M to $22.3MFeb 13, 2024 to Feb 28, 2025
- Financial planning clients · 101-250 to 101-250Feb 13, 2024 to Feb 28, 2025
- State-registered IARs · 3 to 4Feb 13, 2024 to Feb 28, 2025
- Discretionary RAUM · $62.9M to $115MFeb 13, 2024 to Feb 28, 2025
- HNW RAUM · $92.5M to $125MFeb 13, 2024 to Feb 28, 2025
- Individual RAUM · $52.9M to $58.2MFeb 13, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $82.5M to $69.2MFeb 13, 2024 to Feb 28, 2025
- RAUM · $145M to $184MFeb 13, 2024 to Feb 28, 2025
- Accounts · 358 to 770Nov 6, 2023 to Feb 13, 2024
- HNW clients · 15 to 52Nov 6, 2023 to Feb 13, 2024
- Individual clients · 159 to 189Nov 6, 2023 to Feb 13, 2024
- Assets in custody · $4.4M to $15.2MNov 6, 2023 to Feb 13, 2024
- Employees · 6 to 7Nov 6, 2023 to Feb 13, 2024
- Discretionary RAUM · $54.5M to $62.9MNov 6, 2023 to Feb 13, 2024
- HNW RAUM · $23.6M to $92.5MNov 6, 2023 to Feb 13, 2024
- Individual RAUM · $37.9M to $52.9MNov 6, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $6.9M to $82.5MNov 6, 2023 to Feb 13, 2024
- RAUM · $61.5M to $145MNov 6, 2023 to Feb 13, 2024
- Accounts · 342 to 358Feb 1, 2023 to Nov 6, 2023
- Individual clients · 164 to 159Feb 1, 2023 to Nov 6, 2023
- Assets in custody · $4.0M to $4.4MFeb 1, 2023 to Nov 6, 2023
- Discretionary RAUM · $50.8M to $54.5MFeb 1, 2023 to Nov 6, 2023
- HNW RAUM · $22.3M to $23.6MFeb 1, 2023 to Nov 6, 2023
- Individual RAUM · $36.2M to $37.9MFeb 1, 2023 to Nov 6, 2023
- Non-discretionary RAUM · $7.6M to $6.9MFeb 1, 2023 to Nov 6, 2023
Signals
2 dated events
- Alexander P••• S•••••• (Partner) no longer on Schedule A of N•• H•••••• F•••••••• S••••••••• L•• (listed 2022-08-10, absent 2023-02-01)Feb 1, 2023 · Control person left · inference
- N•• H•••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2020 · 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
- Business email
- r••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 607-275-1275reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 607-275-1276reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-597-1181reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/the-strebel-planning-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••CPA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 607-275-1275reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $72.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026