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
A••••••••• F•••••••• S••••••• C•••
Latest filing May 22, 2026
First filing on the tape Aug 6, 2012 · 14 filings
SEC status approved since Oct 3, 2005
RAUM
$462M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
77%
$354M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$154M
derived; firm RAUM over IAPD count
Employees
16
9 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$462M as of May 22, 2026
Aug 6, 2012$195M then
HNW client RAUM$272M as of May 22, 2026
Jan 3, 2020$241M then
State-registered IARs (5.B.3)2 as of May 22, 2026
Aug 6, 20120 then
Employees (5.A)16 as of May 22, 2026
Jul 15, 201416 then
Private funds: no history
RAUM +12% over the last fiscal year+9.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 22, 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
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 199derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $542,650derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$272M59%
- Individuals$81.5M18%
- Pension and profit-sharing plans$44.6M9.7%
- Charitable organizations$44.6M9.7%
- Corporations and businesses$13.4M2.9%
- Insurance companies$5.2M1.1%
- Individual clients
- 459reported
- HNW clients
- 137reported
- Pension plan clients
- 4reported
- Charitable clients
- 29reported
- Accounts
- 851reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•• L••••Chartered Financial Analyst | Utica, Ny | Dec 5, 2022 | 18 y | 0 |
| F•••••• J• P•••••Certified Financial Planner | Utica, Ny | Dec 5, 2022 | 41 y | 2 |
| J••• J• C••••Chartered Financial Analyst | Utica, Ny | Dec 6, 2022 | 14 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
- F•••••• J• P••••• from B• R•••• W••••• A•••••••• I•••Dec 5, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• H•••••• T••••• · Board Chairmancontrolsince 01/2000 · owns 75% or more
- C••••• J•••• J• · Chief Investment Officercontrolsince 11/2011 · owns less than 5%
- L••••• W••••••• F•• · Ceocontrolsince 09/2007 · owns less than 5%
- R•••••• P•••••••• M•••• · Coo, Cfo & Ccocontrolsince 10/2007 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Utica, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing May 22, 2026RAUM per registered advisor of $153,931,618 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 868 to 851Mar 31, 2025 to Mar 31, 2026
- Charity clients · 31 to 29Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 18 to 19Mar 31, 2025 to Mar 31, 2026
- HNW clients · 136 to 137Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $368M to $417MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $240M to $272MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $74.5M to $81.5MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $44.3M to $44.8MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $42.7M to $44.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $412M to $462MMar 31, 2025 to Mar 31, 2026
- Accounts · 853 to 868Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 10 to 9Mar 28, 2024 to Mar 31, 2025
- Charity clients · 28 to 31Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 13 to 18Mar 28, 2024 to Mar 31, 2025
- HNW clients · 139 to 136Mar 28, 2024 to Mar 31, 2025
- Individual clients · 410 to 459Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 4Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 0.0Mar 28, 2024 to Mar 31, 2025
- Employees · 17 to 16Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $337M to $368MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $232M to $240MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $54.0M to $74.5MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $39.4M to $44.3MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $40.2M to $42.7MMar 28, 2024 to Mar 31, 2025
- RAUM · $377M to $412MMar 28, 2024 to Mar 31, 2025
- Accounts · 859 to 853Mar 31, 2023 to Mar 28, 2024
- Charity clients · 24 to 28Mar 31, 2023 to Mar 28, 2024
- HNW clients · 136 to 139Mar 31, 2023 to Mar 28, 2024
- Individual clients · 347 to 410Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 8 to 7Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 2Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $306M to $337MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $230M to $232MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $28.7M to $54.0MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $45.9M to $39.4MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $46.7M to $40.2MMar 31, 2023 to Mar 28, 2024
- RAUM · $352M to $377MMar 31, 2023 to Mar 28, 2024
- Accounts · 828 to 859Jul 1, 2022 to Mar 31, 2023
- Advisory employees · 9 to 10Jul 1, 2022 to Mar 31, 2023
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 phone
- 315-724-4186reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 315-792-9661reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/adirondack-financial-servicesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- adkfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-724-4186reportedpublic record, Form ADV, May 22, 2026
- Contact form
- adkfinancialservices.com/contact-usreportedpublished 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
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026