DFX Intelligence

RIA 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.

Former SEC-registered adviser

A•••••• C•••••• M••••••••• L••

Former SEC-registered adviserRome, New YorkCRD 133322SEC 801-76688IAPD
Latest filing Jul 24, 2020
First filing on the tape May 9, 2012 · 27 filings
RAUM
$30.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$29.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$30.4M as of Mar 19, 2020
Mar 19, 2013$86.3M then
HNW client RAUM$1.8M as of Mar 19, 2020
Mar 16, 2018$42.4M then
State-registered IARs (5.B.3)2 as of Mar 19, 2020
Mar 19, 20136 then
Employees (5.A)4 as of Mar 19, 2020
Mar 19, 20137 then
Private funds: no history
RAUM -56% over the last fiscal year-42% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 24, 2020; every figure names its basis
RAUM per advisor
$15.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$98,035derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-56%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$28.0M92%
  • High-net-worth individuals$1.8M5.9%
  • Banks and thrifts$644,6692.1%
Individual clients
238reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
310reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• R•••••• E••••• · President/Ceocontrol
      since 05/2020 · owns less than 5%
    • N••••• L••••• A•• · Chief Compliance Officercontrol
      since 10/2015 · owns less than 5%
    Entity owners
    • A•••••• C••••• U•••• · Member/Owner (100%)
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A•••••• C••••• U••••
      y
    • A•••••• S•••••••• L••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Liverpool, NY1 employees
    • Rome, NY1 employees
    • Watertown, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 657 to 310
      Jul 1, 2019 to Mar 19, 2020
    • Advisory employees · 6 to 3
      Jul 1, 2019 to Mar 19, 2020
    • BD registered reps · 1 to 2
      Jul 1, 2019 to Mar 19, 2020
    • HNW clients · 2.0 to unset
      Jul 1, 2019 to Mar 19, 2020
    • Individual clients · 391 to 238
      Jul 1, 2019 to Mar 19, 2020
    • Employees · 7 to 4
      Jul 1, 2019 to Mar 19, 2020
    • Insurance-licensed employees · 1 to 2
      Jul 1, 2019 to Mar 19, 2020
    • Discretionary RAUM · $68.6M to $30.4M
      Jul 1, 2019 to Mar 19, 2020
    • HNW RAUM · $1.9M to $1.8M
      Jul 1, 2019 to Mar 19, 2020
    • Individual RAUM · $66.1M to $28.0M
      Jul 1, 2019 to Mar 19, 2020
    • RAUM · $68.6M to $30.4M
      Jul 1, 2019 to Mar 19, 2020
    • Accounts · 1,106 to 657
      Feb 11, 2019 to Mar 27, 2019
    • HNW clients · 38 to 2
      Feb 11, 2019 to Mar 27, 2019
    • Individual clients · 706 to 391
      Feb 11, 2019 to Mar 27, 2019
    • Pension plan clients · 5.0 to unset
      Feb 11, 2019 to Mar 27, 2019
    • State-registered IARs · 4 to 2
      Feb 11, 2019 to Mar 27, 2019
    • Discretionary RAUM · $160M to $68.6M
      Feb 11, 2019 to Mar 27, 2019
    • HNW RAUM · $42.4M to $1.9M
      Feb 11, 2019 to Mar 27, 2019
    • Individual RAUM · $112M to $66.1M
      Feb 11, 2019 to Mar 27, 2019
    • Pension RAUM · 5087149.0 to unset
      Feb 11, 2019 to Mar 27, 2019
    • RAUM · $160M to $68.6M
      Feb 11, 2019 to Mar 27, 2019
    • BD registered reps · 0 to 1
      Mar 16, 2018 to Apr 19, 2018
    • Related adviser · true to false
      Mar 16, 2018 to Apr 19, 2018
    • Accounts · 564 to 1,106
      Mar 21, 2017 to Mar 16, 2018
    • BD registered reps · 4 to 0
      Mar 21, 2017 to Mar 16, 2018
    • HNW clients · unset to 38.0
      Mar 21, 2017 to Mar 16, 2018
    • Individual clients · unset to 706.0
      Mar 21, 2017 to Mar 16, 2018
    • Pension plan clients · unset to 5.0
      Mar 21, 2017 to Mar 16, 2018
    • Employees · 8 to 7
      Mar 21, 2017 to Mar 16, 2018
    • State-registered IARs · 0 to 4
      Mar 21, 2017 to Mar 16, 2018
    • Other offices · unset to 3.0
      Mar 21, 2017 to Mar 16, 2018
    • Discretionary RAUM · $148M to $160M
      Mar 21, 2017 to Mar 16, 2018
    • HNW RAUM · unset to 42351201.0
      Mar 21, 2017 to Mar 16, 2018
    • Individual RAUM · unset to 111805144.0
      Mar 21, 2017 to Mar 16, 2018
    • Non-discretionary RAUM · $5.3M to $0
      Mar 21, 2017 to Mar 16, 2018
    • Pension RAUM · unset to 5087149.0
      Mar 21, 2017 to Mar 16, 2018
    • RAUM · $153M to $160M
      Mar 21, 2017 to Mar 16, 2018
    • Accounts · 959 to 564
      Mar 28, 2016 to Mar 21, 2017
    • BD registered reps · 3 to 4
      Mar 28, 2016 to Mar 21, 2017
    • Employees · 7 to 8
      Mar 28, 2016 to Mar 21, 2017
    Signals
    2 dated events
    • Alan Mark Pfisterer (Chief Executive Manager) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2020-03-26, absent 2020-06-11)
      Jun 11, 2020 · Control person left · inference
    • Thomas James Lombardo (Chief Operations Manager) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2019-02-11, absent 2019-03-27)
      Mar 27, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026