DFX Intelligence

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A••••• • P••••••• F••••••••• L••

Independent wealth managerSEC-registered· Albany, New Yorkwebsite

Independent wealth manager, based in Albany, New York, reporting $39.1M of regulatory assets across 1 registered advisors.

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

As of 2026-07-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $39.1M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +6.8%
Private clients: 99%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-07-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+6.8%
RAUM, one year
RAUM $36.6M to $39.1M (+6.8%) on the Form ADV filed 2 Jul 2026, while advisors on the filing fell 3 to 1 and offices fell 2 to 1.
The filed advisor count fell, but the IAPD registrations show net 0 in 12 months; the two sources disagree, so read the filing before reading departures into it.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 143079 · SEC 801-81020 · 23 filingsShow

CRD 143079SEC 801-81020First filing on the tape Feb 17, 2015, latest Jul 2, 2026SEC status approved since Feb 23, 2015IAPD

RAUM

$39.1M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

99%

$38.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$39.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM +2.7% a year over three years · the tape starts Feb 17, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$39.1M as of Jul 2, 2026

Mar 24, 2016$23.8M then

HNW client RAUM$22.7M as of Jul 2, 2026

Mar 20, 2018$12.3M then

State-registered IARs (5.B.3)1 as of Jul 2, 2026

Mar 24, 20160 then

Employees (5.A)2 as of Jul 2, 2026

Mar 24, 20162 then

Private funds: no history

RAUM +6.8% over the last fiscal year+2.7% a year over threeIARs 3 to 1offices 2 to 1

Practice profile

derived from the filing of Jul 2, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $39.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 139derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $277,069derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +6.8%derivedbetween the last two annual amendments
Advisor growth, one year: -67%derivedItem 5.B.3 between annual amendments
Client growth, one year: +51%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $876,405, 2 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

58% high-net-worth individuals, 41% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$22.7M58%
Individuals$16.1M41%
Charitable organizations$273,3320.7%

Individual clients: 120reported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 141reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $876,405 for 2 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••••• S•••••• P•••••••	Fort Pierce, Fl	Jul 15, 2021	34 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••••• D••••• B• · LLC Member/Ownercontrol
since 05/2014 · owns 25% to 50%
P•••••••• D••••••• S•••••• · Managing Member, Chief Compliance Officercontrol
since 01/2007 · owns 50% to 75%

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

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Castleton, Ny	0	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 95 to 141
Nov 14, 2025 to Mar 20, 2026
HNW clients · 16 to 19
Nov 14, 2025 to Mar 20, 2026
Individual clients · 76 to 120
Nov 14, 2025 to Mar 20, 2026
Assets in custody · $36.6M to $876,405
Nov 14, 2025 to Mar 20, 2026
Insurance-licensed employees · 0 to 1
Nov 14, 2025 to Mar 20, 2026

Full history · 80 changes

HQ city · to ALBANY
Nov 14, 2025 to Mar 20, 2026
HQ state · to NY
Nov 14, 2025 to Mar 20, 2026
Discretionary RAUM · $36.6M to $38.4M
Nov 14, 2025 to Mar 20, 2026
HNW RAUM · $18.9M to $22.7M
Nov 14, 2025 to Mar 20, 2026
Individual RAUM · $16.8M to $16.1M
Nov 14, 2025 to Mar 20, 2026
Non-discretionary RAUM · $0 to $686,861
Nov 14, 2025 to Mar 20, 2026
RAUM · $36.6M to $39.1M
Nov 14, 2025 to Mar 20, 2026
Advisory employees · 3 to 1
Mar 31, 2025 to Nov 14, 2025
BD registered reps · 3 to 0
Mar 31, 2025 to Nov 14, 2025
Employees · 7 to 2
Mar 31, 2025 to Nov 14, 2025
Insurance-licensed employees · 2 to 0
Mar 31, 2025 to Nov 14, 2025
State-registered IARs · 3 to 1
Mar 31, 2025 to Nov 14, 2025
Other offices · 2 to 1
Mar 31, 2025 to Nov 14, 2025
Accounts · 291 to 95
Mar 27, 2024 to Mar 31, 2025
Advisory employees · 1 to 3
Mar 27, 2024 to Mar 31, 2025
BD registered reps · 1 to 3
Mar 27, 2024 to Mar 31, 2025
Charity clients · 2.0 to unset
Mar 27, 2024 to Mar 31, 2025
HNW clients · 20 to 16
Mar 27, 2024 to Mar 31, 2025
Individual clients · 96 to 76
Mar 27, 2024 to Mar 31, 2025
Assets in custody · $35.4M to $36.6M
Mar 27, 2024 to Mar 31, 2025
Employees · 1 to 7
Mar 27, 2024 to Mar 31, 2025
Insurance-licensed employees · 0 to 2
Mar 27, 2024 to Mar 31, 2025
Financial planning clients · 1-10 to 1-10
Mar 27, 2024 to Mar 31, 2025
HQ city · unset to
Mar 27, 2024 to Mar 31, 2025
HQ state · unset to
Mar 27, 2024 to Mar 31, 2025
State-registered IARs · 1 to 3
Mar 27, 2024 to Mar 31, 2025
Other offices · 1 to 2
Mar 27, 2024 to Mar 31, 2025
Discretionary RAUM · $37.8M to $36.6M
Mar 27, 2024 to Mar 31, 2025
HNW RAUM · $21.8M to $18.9M
Mar 27, 2024 to Mar 31, 2025
Individual RAUM · $15.7M to $16.8M
Mar 27, 2024 to Mar 31, 2025
RAUM · $37.8M to $36.6M
Mar 27, 2024 to Mar 31, 2025
Accounts · 294 to 291
Feb 25, 2023 to Mar 27, 2024
HNW clients · 16 to 20
Feb 25, 2023 to Mar 27, 2024
Individual clients · 108 to 96
Feb 25, 2023 to Mar 27, 2024
Assets in custody · $24.7M to $35.4M
Feb 25, 2023 to Mar 27, 2024
Employees · 2 to 1
Feb 25, 2023 to Mar 27, 2024
Insurance-licensed employees · 1 to 0
Feb 25, 2023 to Mar 27, 2024
Discretionary RAUM · $36.1M to $37.8M
Feb 25, 2023 to Mar 27, 2024
HNW RAUM · $19.4M to $21.8M
Feb 25, 2023 to Mar 27, 2024
Individual RAUM · $16.5M to $15.7M
Feb 25, 2023 to Mar 27, 2024
RAUM · $36.1M to $37.8M
Feb 25, 2023 to Mar 27, 2024
Accounts · 367 to 294
Mar 30, 2022 to Feb 25, 2023
HNW clients · 13 to 16
Mar 30, 2022 to Feb 25, 2023
Individual clients · 109 to 108
Mar 30, 2022 to Feb 25, 2023
Assets in custody · $37.1M to $24.7M
Mar 30, 2022 to Feb 25, 2023
Discretionary RAUM · $40.4M to $36.1M
Mar 30, 2022 to Feb 25, 2023
HNW RAUM · $13.0M to $19.4M
Mar 30, 2022 to Feb 25, 2023
Individual RAUM · $27.2M to $16.5M
Mar 30, 2022 to Feb 25, 2023
RAUM · $40.4M to $36.1M
Mar 30, 2022 to Feb 25, 2023
Accounts · 311 to 367
Mar 29, 2021 to Mar 30, 2022
Charity clients · unset to 2.0
Mar 29, 2021 to Mar 30, 2022
HNW clients · 8 to 13
Mar 29, 2021 to Mar 30, 2022
Individual clients · 121 to 109
Mar 29, 2021 to Mar 30, 2022
Assets in custody · $27.1M to $37.1M
Mar 29, 2021 to Mar 30, 2022
Discretionary RAUM · $37.6M to $40.4M
Mar 29, 2021 to Mar 30, 2022
HNW RAUM · $17.8M to $13.0M
Mar 29, 2021 to Mar 30, 2022
Individual RAUM · $19.5M to $27.2M
Mar 29, 2021 to Mar 30, 2022
RAUM · $37.6M to $40.4M
Mar 29, 2021 to Mar 30, 2022
Accounts · 293 to 311
Jun 25, 2020 to Mar 29, 2021
HNW clients · 6 to 8
Jun 25, 2020 to Mar 29, 2021
Individual clients · 110 to 121
Jun 25, 2020 to Mar 29, 2021
Assets in custody · $6.6M to $27.1M
Jun 25, 2020 to Mar 29, 2021
Discretionary RAUM · $27.0M to $37.6M
Jun 25, 2020 to Mar 29, 2021
HNW RAUM · $9.0M to $17.8M
Jun 25, 2020 to Mar 29, 2021
Individual RAUM · $17.7M to $19.5M
Jun 25, 2020 to Mar 29, 2021
RAUM · $27.0M to $37.6M
Jun 25, 2020 to Mar 29, 2021
Accounts · 299 to 293
Oct 16, 2019 to Mar 5, 2020
HNW clients · 16 to 6
Oct 16, 2019 to Mar 5, 2020
Individual clients · 100 to 110
Oct 16, 2019 to Mar 5, 2020
Assets in custody · $21.1M to $6.6M
Oct 16, 2019 to Mar 5, 2020
Insurance-licensed employees · 0 to 1
Oct 16, 2019 to Mar 5, 2020
State-registered IARs · 0 to 1
Oct 16, 2019 to Mar 5, 2020
Discretionary RAUM · $25.7M to $27.0M
Oct 16, 2019 to Mar 5, 2020
HNW RAUM · $12.0M to $9.0M
Oct 16, 2019 to Mar 5, 2020
Individual RAUM · $13.3M to $17.7M
Oct 16, 2019 to Mar 5, 2020

Signals

3 dated events

••• Locked
May 29, 2025 · Advisor departure · fact
••• Locked
May 29, 2025 · Advisor departure · fact
••• Locked
Feb 17, 2015 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 2, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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: $39.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026