DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••••• C•••••• A•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 29, 2019 · 18 filings
SEC status approved since Apr 29, 2019
RAUM
$422M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$355M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$422M as of Mar 17, 2026
Feb 25, 2020$160M then
HNW client RAUM$245M as of Mar 17, 2026
Feb 25, 2020$63.9M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Feb 25, 20204 then
Employees (5.A)7 as of Mar 17, 2026
Feb 25, 20205 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $363,079derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$245M58%
- Individuals$110M26%
- Pension and profit-sharing plans$64.3M15%
- Charitable organizations$2.0M0.5%
- Corporations and businesses$1.2M0.3%
- Individual clients
- 290reported
- HNW clients
- 170reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 1,163reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• J•••• D•••••Personal Financial Specialist | Syracuse, Ny | Feb 12, 2021 | 29 y | 1 |
| J•••• V••••• C••••••• | Syracuse, Ny | Feb 14, 2021 | 10 y | 1 |
| C••••••••• W•••••• B••• | Syracuse, Ny | Mar 15, 2021 | 24 y | 0 |
| R•• W• M•••••• | Syracuse, Ny | Mar 21, 2022 | 11 y | 1 |
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
- R•• W• M•••••• from C•••••• C•••••• M••••••••• L••Mar 21, 2022 · Other
- J•••• V••••• C••••••• from A•••••• C•••••• M••••••••• L••Feb 14, 2021 · RIA to RIA
- P•••••• J•••• D••••• from C•••••• C•••••• M••••••••• L••Feb 12, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• C•••••• M••••••••• L••Feb 27, 2023 · Syracuse, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••••••• W•••••• · Managing Membercontrolsince 03/2020 · owns 25% to 50%
- D•••••• P••••••• J•••• · Chief Compliance Officer/Chief Executive Officer/Chief Investment Officercontrolsince 02/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,084 to 1,163Nov 13, 2025 to Mar 17, 2026
- HNW clients · 155 to 170Nov 13, 2025 to Mar 17, 2026
- Individual clients · 260 to 290Nov 13, 2025 to Mar 17, 2026
- Pension plan clients · 26 to 29Nov 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $350M to $422MNov 13, 2025 to Mar 17, 2026
- HNW RAUM · $206M to $245MNov 13, 2025 to Mar 17, 2026
- Individual RAUM · $89.1M to $110MNov 13, 2025 to Mar 17, 2026
- Pension RAUM · $51.6M to $64.3MNov 13, 2025 to Mar 17, 2026
- RAUM · $350M to $422MNov 13, 2025 to Mar 17, 2026
- Employees · 6 to 7Apr 24, 2025 to Nov 13, 2025
- Accounts · 978 to 1,084Mar 26, 2024 to Apr 24, 2025
- HNW clients · 93 to 155Mar 26, 2024 to Apr 24, 2025
- Individual clients · 276 to 260Mar 26, 2024 to Apr 24, 2025
- Pension plan clients · 25 to 26Mar 26, 2024 to Apr 24, 2025
- Employees · 5 to 6Mar 26, 2024 to Apr 24, 2025
- Financial planning clients · 251-500 to 251-500Mar 26, 2024 to Apr 24, 2025
- Discretionary RAUM · $285M to $350MMar 26, 2024 to Apr 24, 2025
- HNW RAUM · $156M to $206MMar 26, 2024 to Apr 24, 2025
- Individual RAUM · $87.4M to $89.1MMar 26, 2024 to Apr 24, 2025
- Pension RAUM · $39.5M to $51.6MMar 26, 2024 to Apr 24, 2025
- RAUM · $285M to $350MMar 26, 2024 to Apr 24, 2025
- Accounts · 819 to 978Nov 15, 2023 to Mar 26, 2024
- HNW clients · 85 to 93Nov 15, 2023 to Mar 26, 2024
- Individual clients · 253 to 276Nov 15, 2023 to Mar 26, 2024
- Pension plan clients · 19 to 25Nov 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $251M to $285MNov 15, 2023 to Mar 26, 2024
- HNW RAUM · $127M to $156MNov 15, 2023 to Mar 26, 2024
- Individual RAUM · $89.6M to $87.4MNov 15, 2023 to Mar 26, 2024
- Pension RAUM · $32.7M to $39.5MNov 15, 2023 to Mar 26, 2024
- RAUM · $251M to $285MNov 15, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 251-500Mar 30, 2023 to Apr 3, 2023
- Accounts · 761 to 819Mar 18, 2022 to Mar 17, 2023
- HNW clients · 74 to 85Mar 18, 2022 to Mar 17, 2023
- Individual clients · 224 to 253Mar 18, 2022 to Mar 17, 2023
- Pension plan clients · 15 to 19Mar 18, 2022 to Mar 17, 2023
- Insurance-licensed employees · 2 to 0Mar 18, 2022 to Mar 17, 2023
- Discretionary RAUM · $266M to $251MMar 18, 2022 to Mar 17, 2023
- HNW RAUM · $144M to $127MMar 18, 2022 to Mar 17, 2023
- Individual RAUM · $72.5M to $89.6MMar 18, 2022 to Mar 17, 2023
- Pension RAUM · $36.7M to $32.7MMar 18, 2022 to Mar 17, 2023
Signals
3 dated events
- 2 advisors left C•••••• C•••••• M••••••••• L•• (Syracuse, NY) for A••••••••• C•••••• A•••••••• L•• on the same dayFeb 27, 2023 · Team lift-out · derived
- James Patrick Dooley (Chief Compliance Officer/Chief Executive Officer/Chief Investment Officer) appeared on Schedule A of A••••••••• C•••••• A•••••••• L••Feb 25, 2020 · Control person joined · fact
- A••••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2019 · 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 phone
- 315-434-5597reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 315-434-5598reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 315-434-5597reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026