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
L••••• F••••• W••••• A•••••••• L•••••
Latest filing Feb 16, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Mar 9, 2007
RAUM
$98.6M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$97.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$49.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$98.6M as of Feb 16, 2026
Mar 28, 2012$40.9M then
HNW client RAUM$58.4M as of Feb 16, 2026
Mar 23, 2018$23.9M then
State-registered IARs (5.B.3)0 as of Feb 16, 2026
Mar 20, 20130 then
Employees (5.A)3 as of Feb 16, 2026
Mar 20, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 16, 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
- $49.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $209,296derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $28.7M, 70 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.4M59%
- Individuals$38.9M39%
- Charitable organizations$1.2M1.3%
- Individual clients
- 186reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 471reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.7M for 70 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• W•••••• P•••Certified Financial Planner | Malta, Ny | Sep 19, 2024 | 28 y | 0 |
| R••••• R•••••• R••••• J••Certified Financial Planner | Malta, Ny | Oct 1, 2024 | 15 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• T••••••• W•••••• · Managing Membercontrolsince 09/2006 · owns 75% or more
- R••••• J••• R•••••• R•••••• · Member, Chief Compliance Officersince 01/2013 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Malta, Ny · principal | 2 | 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
- business activity changedChange between filings · filing Feb 16, 2026pension consulting (Item 5.G.6): no on the filing of 2025-02-04, yes on the filing of 2026-02-16peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 441 to 471Feb 4, 2025 to Feb 16, 2026
- Advisory employees · 2 to 3Feb 4, 2025 to Feb 16, 2026
- Advisory activities · 2 to 3Feb 4, 2025 to Feb 16, 2026
- HNW clients · 27 to 28Feb 4, 2025 to Feb 16, 2026
- Individual clients · 164 to 186Feb 4, 2025 to Feb 16, 2026
- Assets in custody · $25.2M to $28.7MFeb 4, 2025 to Feb 16, 2026
- Employees · 2 to 3Feb 4, 2025 to Feb 16, 2026
- Discretionary RAUM · $83.6M to $97.3MFeb 4, 2025 to Feb 16, 2026
- HNW RAUM · $50.1M to $58.4MFeb 4, 2025 to Feb 16, 2026
- Individual RAUM · $32.5M to $38.9MFeb 4, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $52,532 to $1.3MFeb 4, 2025 to Feb 16, 2026
- RAUM · $83.6M to $98.6MFeb 4, 2025 to Feb 16, 2026
- Accounts · 427 to 441Mar 6, 2024 to Feb 4, 2025
- HNW clients · 22 to 27Mar 6, 2024 to Feb 4, 2025
- Individual clients · 167 to 164Mar 6, 2024 to Feb 4, 2025
- Assets in custody · $19.9M to $25.2MMar 6, 2024 to Feb 4, 2025
- Financial planning clients · 11-25 to 11-25Mar 6, 2024 to Feb 4, 2025
- Discretionary RAUM · $72.1M to $83.6MMar 6, 2024 to Feb 4, 2025
- HNW RAUM · $38.2M to $50.1MMar 6, 2024 to Feb 4, 2025
- Individual RAUM · $33.0M to $32.5MMar 6, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $46,542 to $52,532Mar 6, 2024 to Feb 4, 2025
- RAUM · $72.2M to $83.6MMar 6, 2024 to Feb 4, 2025
- Accounts · 476 to 427Feb 6, 2023 to Mar 6, 2024
- HNW clients · 17 to 22Feb 6, 2023 to Mar 6, 2024
- Individual clients · 230 to 167Feb 6, 2023 to Mar 6, 2024
- Pension plan clients · unset to 0.0Feb 6, 2023 to Mar 6, 2024
- Assets in custody · $17.9M to $19.9MFeb 6, 2023 to Mar 6, 2024
- Discretionary RAUM · $62.3M to $72.1MFeb 6, 2023 to Mar 6, 2024
- HNW RAUM · $28.5M to $38.2MFeb 6, 2023 to Mar 6, 2024
- Individual RAUM · $35.2M to $33.0MFeb 6, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $2.8M to $46,542Feb 6, 2023 to Mar 6, 2024
- Pension RAUM · 553413.0 to unsetFeb 6, 2023 to Mar 6, 2024
- RAUM · $65.1M to $72.2MFeb 6, 2023 to Mar 6, 2024
- Accounts · 470 to 476Mar 16, 2022 to Feb 6, 2023
- HNW clients · 20 to 17Mar 16, 2022 to Feb 6, 2023
- Individual clients · 213 to 230Mar 16, 2022 to Feb 6, 2023
- Assets in custody · $31.5M to $17.9MMar 16, 2022 to Feb 6, 2023
- Discretionary RAUM · $77.1M to $62.3MMar 16, 2022 to Feb 6, 2023
- HNW RAUM · $37.7M to $28.5MMar 16, 2022 to Feb 6, 2023
- Individual RAUM · $36.7M to $35.2MMar 16, 2022 to Feb 6, 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
- Website
- L•••••F•••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-899-5904reportedpublic record, Form ADV, Feb 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
- $49.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026