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••••• L••• C•••••• A•••••••• L•••
Latest filing Mar 2, 2026
First filing on the tape Feb 26, 2014 · 23 filings
SEC status approved since Mar 6, 2014
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$108M as of Mar 2, 2026
Mar 18, 2015$59.7M then
HNW client RAUM$37.5M as of Mar 2, 2026
Feb 21, 2018$19.8M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 18, 20150 then
Employees (5.A)2 as of Mar 2, 2026
Mar 18, 20150 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $54.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $298,586derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$70.6M65%
- High-net-worth individuals$37.5M35%
- Individual clients
- 185reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 362reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• T• M••• | Camillus, Ny | Jan 12, 2005 | 28 y | 0 |
| J••• A••••• I•••• | Camillus, Ny | Feb 13, 2024 | 12 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
- D••••• A••••• P••••• to L•••• B•••••• • C••• L••Jul 11, 2022 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J••••• F•••••• · Vice President & Secretarycontrolsince 12/2014 · owns 50% to 75%
- M•••• A•••••• T• · Chief Compliance Officercontrolsince 12/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Camillus, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 355 to 362Jan 27, 2025 to Mar 2, 2026
- HNW clients · 17 to 21Jan 27, 2025 to Mar 2, 2026
- Individual clients · 197 to 185Jan 27, 2025 to Mar 2, 2026
- Discretionary RAUM · $92.8M to $108MJan 27, 2025 to Mar 2, 2026
- HNW RAUM · $27.9M to $37.5MJan 27, 2025 to Mar 2, 2026
- Individual RAUM · $65.2M to $70.6MJan 27, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $264,634 to $293,646Jan 27, 2025 to Mar 2, 2026
- RAUM · $93.1M to $108MJan 27, 2025 to Mar 2, 2026
- Accounts · 385 to 355Apr 3, 2024 to Jan 27, 2025
- HNW clients · 16 to 17Apr 3, 2024 to Jan 27, 2025
- Individual clients · 204 to 197Apr 3, 2024 to Jan 27, 2025
- Financial planning clients · 101-250 to 101-250Apr 3, 2024 to Jan 27, 2025
- Discretionary RAUM · $85.6M to $92.8MApr 3, 2024 to Jan 27, 2025
- HNW RAUM · $25.0M to $27.9MApr 3, 2024 to Jan 27, 2025
- Individual RAUM · $60.9M to $65.2MApr 3, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $238,470 to $264,634Apr 3, 2024 to Jan 27, 2025
- RAUM · $85.9M to $93.1MApr 3, 2024 to Jan 27, 2025
- Accounts · 333 to 385Jan 9, 2024 to Feb 13, 2024
- HNW clients · 9 to 16Jan 9, 2024 to Feb 13, 2024
- Individual clients · 201 to 204Jan 9, 2024 to Feb 13, 2024
- Discretionary RAUM · $70.9M to $85.6MJan 9, 2024 to Feb 13, 2024
- HNW RAUM · $12.3M to $25.0MJan 9, 2024 to Feb 13, 2024
- Individual RAUM · $58.9M to $60.9MJan 9, 2024 to Feb 13, 2024
- Non-discretionary RAUM · $291,997 to $238,470Jan 9, 2024 to Feb 13, 2024
- RAUM · $71.2M to $85.9MJan 9, 2024 to Feb 13, 2024
- Accounts · 349 to 333Nov 10, 2022 to Jan 19, 2023
- HNW clients · 21 to 9Nov 10, 2022 to Jan 19, 2023
- Individual clients · 228 to 201Nov 10, 2022 to Jan 19, 2023
- Discretionary RAUM · $95.6M to $70.9MNov 10, 2022 to Jan 19, 2023
- HNW RAUM · $32.9M to $12.3MNov 10, 2022 to Jan 19, 2023
- Individual RAUM · $62.6M to $58.9MNov 10, 2022 to Jan 19, 2023
- Non-discretionary RAUM · $0 to $291,997Nov 10, 2022 to Jan 19, 2023
- RAUM · $95.6M to $71.2MNov 10, 2022 to Jan 19, 2023
- Related insurance company · true to falseJul 19, 2022 to Nov 10, 2022
- Other offices · 0 to 1Jul 11, 2022 to Jul 19, 2022
- Advisory employees · 3 to 2Jun 29, 2022 to Jul 11, 2022
- BD registered reps · 3 to 2Jun 29, 2022 to Jul 11, 2022
- Employees · 3 to 2Jun 29, 2022 to Jul 11, 2022
- State-registered IARs · 3 to 2Jun 29, 2022 to Jul 11, 2022
- Other offices · 1 to 0Jun 29, 2022 to Jul 11, 2022
Signals
2 dated events
- D••••• A••••• P••••• left N••••• L••• C•••••• A•••••••• L••• for L•••• B•••••• • C••• L•• (registered 2022-07-13)Jul 11, 2022 · Advisor changed firm · fact
- N••••• L••• C•••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Feb 26, 2014 · 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
- Principal office phone
- 315-299-8979reportedpublic record, Form ADV, Mar 2, 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
- $54.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026