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Independent wealth managerSEC-registered· Fayetteville, New York

Independent wealth manager, based in Fayetteville, New York, reporting $86.2M of regulatory assets.

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

Regulatory AUM
$86.2M
Advisors
0
RAUM change, 1 year
+7.9%
Private clients
100%
of RAUM, $86.2M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2026, RAUM $79.9M to $86.2M (+7.9%) on the Form ADV filed 23 Mar 2026.

Every filed figure, and the identifiersCRD 126599 · SEC 801-68860 · 23 filingsShow
CRD 126599SEC 801-68860First filing on the tape Mar 5, 2012, latest Mar 23, 2026SEC status approved since Mar 12, 2008IAPD
RAUM
$86.2M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
100%
$86.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape

RAUM +5.6% a year over three years · the tape starts Mar 5, 2012

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$86.2M as of Mar 23, 2026
Mar 5, 2012$54.4M then
HNW client RAUM$49.9M as of Mar 23, 2026
Mar 12, 2018$27.1M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 5, 20120 then
Employees (5.A)2 as of Mar 23, 2026
Mar 7, 20131 then
Private funds: no history
RAUM +7.9% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$229,925derivedRAUM over accounts (5.F.2.f)
Discretionary
30%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+7.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

58% high-net-worth individuals, 42% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$49.9M58%
  • Individuals$36.4M42%
Individual clients
174reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
375reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• E•••••• W••••• · Managing Member, Chief Compliance Officercontrol
        since 03/2001 · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      • E••••• W• E••••
        investment companyy
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 389 to 375
        Mar 31, 2025 to Mar 23, 2026
      • Discretionary RAUM · $16.0M to $26.1M
        Mar 31, 2025 to Mar 23, 2026
      • HNW RAUM · $47.5M to $49.9M
        Mar 31, 2025 to Mar 23, 2026
      • Individual RAUM · $32.4M to $36.4M
        Mar 31, 2025 to Mar 23, 2026
      • Non-discretionary RAUM · $63.9M to $60.1M
        Mar 31, 2025 to Mar 23, 2026
      Full history · 80 changes
      • RAUM · $79.9M to $86.2M
        Mar 31, 2025 to Mar 23, 2026
      • Accounts · 384 to 389
        Aug 16, 2024 to Mar 31, 2025
      • HNW clients · 32 to 48
        Aug 16, 2024 to Mar 31, 2025
      • Individual clients · 220 to 174
        Aug 16, 2024 to Mar 31, 2025
      • Assets in custody · $14.4M to $14.7M
        Aug 16, 2024 to Mar 31, 2025
      • Financial planning clients · 1-10 to 1-10
        Aug 16, 2024 to Mar 31, 2025
      • Discretionary RAUM · $17.3M to $16.0M
        Aug 16, 2024 to Mar 31, 2025
      • HNW RAUM · $37.8M to $47.5M
        Aug 16, 2024 to Mar 31, 2025
      • Individual RAUM · $40.0M to $32.4M
        Aug 16, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $60.5M to $63.9M
        Aug 16, 2024 to Mar 31, 2025
      • RAUM · $77.8M to $79.9M
        Aug 16, 2024 to Mar 31, 2025
      • Accounts · 389 to 384
        Dec 21, 2023 to Mar 7, 2024
      • Advisory activities · 3 to 4
        Dec 21, 2023 to Mar 7, 2024
      • Individual clients · 203 to 220
        Dec 21, 2023 to Mar 7, 2024
      • Assets in custody · $13.3M to $14.4M
        Dec 21, 2023 to Mar 7, 2024
      • Financial planning clients · 11-25 to 1-10
        Dec 21, 2023 to Mar 7, 2024
      • Discretionary RAUM · $16.2M to $17.3M
        Dec 21, 2023 to Mar 7, 2024
      • HNW RAUM · $31.9M to $37.8M
        Dec 21, 2023 to Mar 7, 2024
      • Individual RAUM · $41.3M to $40.0M
        Dec 21, 2023 to Mar 7, 2024
      • Non-discretionary RAUM · $57.0M to $60.5M
        Dec 21, 2023 to Mar 7, 2024
      • RAUM · $73.2M to $77.8M
        Dec 21, 2023 to Mar 7, 2024
      • Accounts · 373 to 389
        May 3, 2022 to Mar 9, 2023
      • HNW clients · 25 to 32
        May 3, 2022 to Mar 9, 2023
      • Individual clients · 219 to 203
        May 3, 2022 to Mar 9, 2023
      • Assets in custody · $8.0M to $13.3M
        May 3, 2022 to Mar 9, 2023
      • Employees · 3 to 2
        May 3, 2022 to Mar 9, 2023
      • Discretionary RAUM · $21.8M to $16.2M
        May 3, 2022 to Mar 9, 2023
      • HNW RAUM · $28.0M to $31.9M
        May 3, 2022 to Mar 9, 2023
      • Individual RAUM · $41.4M to $41.3M
        May 3, 2022 to Mar 9, 2023
      • Non-discretionary RAUM · $47.6M to $57.0M
        May 3, 2022 to Mar 9, 2023
      • RAUM · $69.4M to $73.2M
        May 3, 2022 to Mar 9, 2023
      • Assets in custody · unset to 8041643.0
        Jan 20, 2022 to May 3, 2022
      • Accounts · 238 to 373
        Mar 5, 2021 to Jan 20, 2022
      • HNW clients · 31 to 25
        Mar 5, 2021 to Jan 20, 2022
      • Individual clients · 207 to 219
        Mar 5, 2021 to Jan 20, 2022
      • Financial planning clients · 26-50 to 11-25
        Mar 5, 2021 to Jan 20, 2022
      • Discretionary RAUM · $24.6M to $21.8M
        Mar 5, 2021 to Jan 20, 2022
      • HNW RAUM · $35.7M to $28.0M
        Mar 5, 2021 to Jan 20, 2022
      • Individual RAUM · $29.0M to $41.4M
        Mar 5, 2021 to Jan 20, 2022
      • Non-discretionary RAUM · $40.1M to $47.6M
        Mar 5, 2021 to Jan 20, 2022
      • RAUM · $64.7M to $69.4M
        Mar 5, 2021 to Jan 20, 2022
      • Accounts · 347 to 238
        Jun 26, 2020 to Mar 5, 2021
      • HNW clients · 50 to 31
        Jun 26, 2020 to Mar 5, 2021
      • Individual clients · 176 to 207
        Jun 26, 2020 to Mar 5, 2021
      • Financial planning clients · 101-250 to 26-50
        Jun 26, 2020 to Mar 5, 2021
      • Discretionary RAUM · $33.4M to $24.6M
        Jun 26, 2020 to Mar 5, 2021
      • HNW RAUM · $29.1M to $35.7M
        Jun 26, 2020 to Mar 5, 2021
      • Individual RAUM · $38.2M to $29.0M
        Jun 26, 2020 to Mar 5, 2021
      • Non-discretionary RAUM · $33.9M to $40.1M
        Jun 26, 2020 to Mar 5, 2021
      • RAUM · $67.3M to $64.7M
        Jun 26, 2020 to Mar 5, 2021
      • Accounts · 317 to 347
        Feb 12, 2019 to Jan 23, 2020
      • HNW clients · 33 to 50
        Feb 12, 2019 to Jan 23, 2020
      • Individual clients · 190 to 176
        Feb 12, 2019 to Jan 23, 2020
      • Employees · 1 to 3
        Feb 12, 2019 to Jan 23, 2020
      • Discretionary RAUM · $27.4M to $33.4M
        Feb 12, 2019 to Jan 23, 2020
      • HNW RAUM · $32.5M to $29.1M
        Feb 12, 2019 to Jan 23, 2020
      • Individual RAUM · $27.4M to $38.2M
        Feb 12, 2019 to Jan 23, 2020
      • Non-discretionary RAUM · $32.5M to $33.9M
        Feb 12, 2019 to Jan 23, 2020
      • RAUM · $59.9M to $67.3M
        Feb 12, 2019 to Jan 23, 2020
      • Accounts · 404 to 317
        Mar 12, 2018 to Feb 12, 2019
      • HNW clients · 19 to 33
        Mar 12, 2018 to Feb 12, 2019
      • Individual clients · 270 to 190
        Mar 12, 2018 to Feb 12, 2019
      • Discretionary RAUM · $27.7M to $27.4M
        Mar 12, 2018 to Feb 12, 2019
      • HNW RAUM · $27.1M to $32.5M
        Mar 12, 2018 to Feb 12, 2019
      • Individual RAUM · $25.6M to $27.4M
        Mar 12, 2018 to Feb 12, 2019
      • Non-discretionary RAUM · $25.0M to $32.5M
        Mar 12, 2018 to Feb 12, 2019
      • RAUM · $52.7M to $59.9M
        Mar 12, 2018 to Feb 12, 2019
      • Accounts · 373 to 404
        Feb 28, 2017 to Mar 12, 2018
      • BD registered reps · 1 to 0
        Feb 28, 2017 to Mar 12, 2018
      • HNW clients · unset to 19.0
        Feb 28, 2017 to Mar 12, 2018
      • Individual clients · unset to 270.0
        Feb 28, 2017 to Mar 12, 2018
      • Other offices · unset to 0.0
        Feb 28, 2017 to Mar 12, 2018
      • Discretionary RAUM · $25.4M to $27.7M
        Feb 28, 2017 to Mar 12, 2018
      • HNW RAUM · unset to 27149091.0
        Feb 28, 2017 to Mar 12, 2018
      • Individual RAUM · unset to 25577771.0
        Feb 28, 2017 to Mar 12, 2018
      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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 23, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.