DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T•• M•••••• F•••••••• G••••• I•••

Independent wealth managerSEC-registered· Elmira, New Yorkwebsite

Independent wealth manager, based in Elmira, New York, reporting $317M of regulatory assets across 4 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $317M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +26%
Private clients: 99%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-01-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 20 Jan 2026, RAUM $252M to $317M (+25.6%) on the Form ADV filed 20 Jan 2026.

Every filed figure, and the identifiersCRD 125763 · SEC 801-67939 · 17 filingsShow

CRD 125763SEC 801-67939First filing on the tape Jan 19, 2012, latest Jan 20, 2026SEC status approved since May 29, 2007IAPD

RAUM

$317M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

99%

$315M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$79.1M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +18% a year over three years · the tape starts Jan 19, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$317M as of Jan 20, 2026

Jan 19, 2012$102M then

HNW client RAUM$151M as of Jan 20, 2026

Jan 9, 2018$68.0M then

State-registered IARs (5.B.3)4 as of Jan 20, 2026

Jan 18, 20130 then

Employees (5.A)4 as of Jan 20, 2026

Jan 18, 20132 then

Private funds: no history

RAUM +26% over the last fiscal year+18% a year over threeIARs 0 to 4

Practice profile

derived from the filing of Jan 20, 2026; every figure names its basis

Archetypes

Independent boutique

The rule behind each archetype, and every derived figure1 ruleShow

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

RAUM per advisor: $79.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 115derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $679,206derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +5.3%derived
Compensation: percentage of assets, hourlyreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

52% individuals, 48% high-net-worth individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

Individuals$164M52%
High-net-worth individuals$151M48%
Corporations and businesses$1.4M0.4%
Charitable organizations$452,0000.1%

Individual clients: 391reported
HNW clients: 69reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 466reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

X••••• R•••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 15, 2020 · Wirehouse to independent RIA

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D••••• A••••• M••••••	Elmira, Ny	Jun 23, 2020	21 y	0
X••••• R•••••• M••••••Certified Financial Planner	Elmira, Ny	Jul 15, 2020	10 y	1
M•••••• W•••••• M••••••	Elmira, Ny	Aug 26, 2024	27 y	0
E•••••••• G•••• M••••••	Elmira, Ny	Jul 11, 2025	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••• M••••••• W•••••• · President / Chief Compliance Officercontrol
since 05/2002 · owns 75% or more

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
Elmira, Ny · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 442 to 466
Jan 17, 2025 to Jan 20, 2026
Advisory employees · 3 to 4
Jan 17, 2025 to Jan 20, 2026
HNW clients · 68 to 69
Jan 17, 2025 to Jan 20, 2026
Individual clients · 369 to 391
Jan 17, 2025 to Jan 20, 2026
State-registered IARs · 0 to 4
Jan 17, 2025 to Jan 20, 2026

Full history · 80 changes

Discretionary RAUM · $252M to $311M
Jan 17, 2025 to Jan 20, 2026
HNW RAUM · $134M to $151M
Jan 17, 2025 to Jan 20, 2026
Individual RAUM · $114M to $164M
Jan 17, 2025 to Jan 20, 2026
Non-discretionary RAUM · $0 to $5.7M
Jan 17, 2025 to Jan 20, 2026
RAUM · $252M to $317M
Jan 17, 2025 to Jan 20, 2026
Accounts · 427 to 442
Jan 5, 2024 to Jan 17, 2025
HNW clients · 55 to 68
Jan 5, 2024 to Jan 17, 2025
Individual clients · 366 to 369
Jan 5, 2024 to Jan 17, 2025
Financial planning clients · 0 to 0
Jan 5, 2024 to Jan 17, 2025
Discretionary RAUM · $217M to $252M
Jan 5, 2024 to Jan 17, 2025
HNW RAUM · $94.2M to $134M
Jan 5, 2024 to Jan 17, 2025
Individual RAUM · $121M to $114M
Jan 5, 2024 to Jan 17, 2025
RAUM · $217M to $252M
Jan 5, 2024 to Jan 17, 2025
Accounts · 421 to 427
Jan 10, 2023 to Jan 5, 2024
HNW clients · 50 to 55
Jan 10, 2023 to Jan 5, 2024
Discretionary RAUM · $194M to $217M
Jan 10, 2023 to Jan 5, 2024
HNW RAUM · $88.6M to $94.2M
Jan 10, 2023 to Jan 5, 2024
Individual RAUM · $103M to $121M
Jan 10, 2023 to Jan 5, 2024
RAUM · $194M to $217M
Jan 10, 2023 to Jan 5, 2024
Accounts · 424 to 421
Jan 10, 2022 to Jan 10, 2023
HNW clients · 55 to 50
Jan 10, 2022 to Jan 10, 2023
Discretionary RAUM · $214M to $194M
Jan 10, 2022 to Jan 10, 2023
HNW RAUM · $115M to $88.6M
Jan 10, 2022 to Jan 10, 2023
Individual RAUM · $95.9M to $103M
Jan 10, 2022 to Jan 10, 2023
RAUM · $214M to $194M
Jan 10, 2022 to Jan 10, 2023
Accounts · 391 to 424
Jun 21, 2021 to Jan 10, 2022
HNW clients · 63 to 55
Jun 21, 2021 to Jan 10, 2022
Individual clients · 325 to 366
Jun 21, 2021 to Jan 10, 2022
Employees · 3 to 4
Jun 21, 2021 to Jan 10, 2022
Discretionary RAUM · $191M to $214M
Jun 21, 2021 to Jan 10, 2022
HNW RAUM · $98.9M to $115M
Jun 21, 2021 to Jan 10, 2022
Individual RAUM · $91.0M to $95.9M
Jun 21, 2021 to Jan 10, 2022
RAUM · $191M to $214M
Jun 21, 2021 to Jan 10, 2022
Accounts · 350 to 391
Jun 29, 2020 to Mar 23, 2021
Charity clients · 5.0 to unset
Jun 29, 2020 to Mar 23, 2021
HNW clients · 57 to 63
Jun 29, 2020 to Mar 23, 2021
Individual clients · 290 to 325
Jun 29, 2020 to Mar 23, 2021
Discretionary RAUM · $160M to $191M
Jun 29, 2020 to Mar 23, 2021
HNW RAUM · $83.1M to $98.9M
Jun 29, 2020 to Mar 23, 2021
Individual RAUM · $74.7M to $91.0M
Jun 29, 2020 to Mar 23, 2021
RAUM · $160M to $191M
Jun 29, 2020 to Mar 23, 2021
Charity clients · unset to 5.0
Jan 14, 2019 to Jan 17, 2020
HNW clients · 40 to 57
Jan 14, 2019 to Jan 17, 2020
Individual clients · 300 to 290
Jan 14, 2019 to Jan 17, 2020
Other offices · 1 to 0
Jan 14, 2019 to Jan 17, 2020
Discretionary RAUM · $128M to $160M
Jan 14, 2019 to Jan 17, 2020
HNW RAUM · $64.0M to $83.1M
Jan 14, 2019 to Jan 17, 2020
Individual RAUM · $63.0M to $74.7M
Jan 14, 2019 to Jan 17, 2020
RAUM · $128M to $160M
Jan 14, 2019 to Jan 17, 2020
Accounts · 343 to 350
Jan 9, 2018 to Jan 14, 2019
Advisory employees · 2 to 3
Jan 9, 2018 to Jan 14, 2019
BD registered reps · 1 to 2
Jan 9, 2018 to Jan 14, 2019
Employees · 2 to 3
Jan 9, 2018 to Jan 14, 2019
Discretionary RAUM · $133M to $128M
Jan 9, 2018 to Jan 14, 2019
HNW RAUM · $68.0M to $64.0M
Jan 9, 2018 to Jan 14, 2019
Individual RAUM · $64.0M to $63.0M
Jan 9, 2018 to Jan 14, 2019
RAUM · $133M to $128M
Jan 9, 2018 to Jan 14, 2019
Accounts · 990 to 343
Jan 5, 2017 to Jan 9, 2018
HNW clients · unset to 40.0
Jan 5, 2017 to Jan 9, 2018
Individual clients · unset to 300.0
Jan 5, 2017 to Jan 9, 2018
Other offices · unset to 1.0
Jan 5, 2017 to Jan 9, 2018
Discretionary RAUM · $117M to $133M
Jan 5, 2017 to Jan 9, 2018
HNW RAUM · unset to 68000000.0
Jan 5, 2017 to Jan 9, 2018
Individual RAUM · unset to 64000000.0
Jan 5, 2017 to Jan 9, 2018
RAUM · $117M to $133M
Jan 5, 2017 to Jan 9, 2018
Accounts · 980 to 990
Jan 19, 2016 to Jan 5, 2017
Discretionary RAUM · $112M to $117M
Jan 19, 2016 to Jan 5, 2017
RAUM · $112M to $117M
Jan 19, 2016 to Jan 5, 2017
Accounts · 950 to 980
Jan 26, 2015 to Jan 19, 2016
Discretionary RAUM · $118M to $112M
Jan 26, 2015 to Jan 19, 2016
RAUM · $118M to $112M
Jan 26, 2015 to Jan 19, 2016
Accounts · 920 to 950
Jan 10, 2014 to Jan 26, 2015
Discretionary RAUM · $115M to $118M
Jan 10, 2014 to Jan 26, 2015
RAUM · $115M to $118M
Jan 10, 2014 to Jan 26, 2015
Accounts · 840 to 920
Jan 18, 2013 to Jan 10, 2014

Signals

No event on the tape.

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: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 20, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $79.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026