DFX Intelligence

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R••• P•••••• • A••••••••• L•• D•••• S•••••••• W••••• A•••••••

Independent wealth managerSEC-registered· Dewitt, New Yorkwebsite

Independent wealth manager, based in Dewitt, New York, reporting $159M of regulatory assets across 3 registered advisors.

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

As of 2026-02-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $159M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.4%
Private clients: 98%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-02-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 4 Feb 2026, RAUM $147M to $159M (+8.4%) on the Form ADV filed 4 Feb 2026.

Every filed figure, and the identifiersCRD 143462 · SEC 801-70011 · 32 filingsShow

CRD 143462SEC 801-70011Legal name R• P•••••• • A••••••••• L••First filing on the tape Mar 21, 2012, latest Feb 4, 2026SEC status approved since Apr 1, 2009IAPD

RAUM

$159M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

98%

$156M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$53.0M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 21, 2012

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

RAUM$159M as of Feb 4, 2026

Mar 21, 2012$76.9M then

HNW client RAUM$138M as of Feb 4, 2026

Feb 7, 2018$70.2M then

State-registered IARs (5.B.3)0 as of Feb 4, 2026

Mar 15, 20132 then

Employees (5.A)3 as of Feb 4, 2026

Mar 15, 20133 then

Private funds: no history

RAUM +8.4% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 4, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $53.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 96derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $356,655derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +8.4%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +26%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

87% high-net-worth individuals, 11% individuals, and 1 other client type

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

High-net-worth individuals$138M87%
Individuals$17.5M11%
Pension and profit-sharing plans$3.4M2.2%

Individual clients: 169reported
HNW clients: 118reported
Pension plan clients: 4reported
Charitable clients: 0reported
Accounts: 446reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 98% private clients, 0% pooled funds, 2% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived

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

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M••••••• P••••••	Dewitt, Ny	May 7, 2021	35 y	0
C••••••• A• W•••••	Dewitt, Ny	Jun 20, 2021	26 y	1
R•••••• S••••• P••••••	Dewitt, Ny	Nov 13, 2025	45 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• M••••••• · Managing Partner/Chief Compliance Officercontrol
since 01/2008 · owns 75% or more

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
Dewitt, Ny · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Feb 4, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 444 to 446
Jan 8, 2026 to Feb 4, 2026
HNW clients · 86 to 118
Jan 8, 2026 to Feb 4, 2026
Individual clients · 142 to 169
Jan 8, 2026 to Feb 4, 2026
Pension plan clients · 3 to 4
Jan 8, 2026 to Feb 4, 2026
HNW RAUM · $126M to $138M
Jan 8, 2026 to Feb 4, 2026

Full history · 80 changes

Individual RAUM · $17.8M to $17.5M
Jan 8, 2026 to Feb 4, 2026
Non-discretionary RAUM · $147M to $159M
Jan 8, 2026 to Feb 4, 2026
Pension RAUM · $2.8M to $3.4M
Jan 8, 2026 to Feb 4, 2026
RAUM · $147M to $159M
Jan 8, 2026 to Feb 4, 2026
Accounts · 454 to 444
Feb 14, 2024 to Feb 5, 2025
HNW clients · 82 to 86
Feb 14, 2024 to Feb 5, 2025
Individual clients · 140 to 142
Feb 14, 2024 to Feb 5, 2025
Financial planning clients · 1-10 to 1-10
Feb 14, 2024 to Feb 5, 2025
HNW RAUM · $96.7M to $126M
Feb 14, 2024 to Feb 5, 2025
Individual RAUM · $25.7M to $17.8M
Feb 14, 2024 to Feb 5, 2025
Non-discretionary RAUM · $125M to $147M
Feb 14, 2024 to Feb 5, 2025
Pension RAUM · $2.3M to $2.8M
Feb 14, 2024 to Feb 5, 2025
RAUM · $125M to $147M
Feb 14, 2024 to Feb 5, 2025
Accounts · 410 to 454
Oct 12, 2023 to Feb 14, 2024
Advisory employees · 5 to 3
Oct 12, 2023 to Feb 14, 2024
BD registered reps · 3 to 1
Oct 12, 2023 to Feb 14, 2024
HNW clients · 70 to 82
Oct 12, 2023 to Feb 14, 2024
Individual clients · 137 to 140
Oct 12, 2023 to Feb 14, 2024
Employees · 5 to 3
Oct 12, 2023 to Feb 14, 2024
HNW RAUM · $87.7M to $96.7M
Oct 12, 2023 to Feb 14, 2024
Individual RAUM · $26.8M to $25.7M
Oct 12, 2023 to Feb 14, 2024
Non-discretionary RAUM · $116M to $125M
Oct 12, 2023 to Feb 14, 2024
Pension RAUM · $2.0M to $2.3M
Oct 12, 2023 to Feb 14, 2024
RAUM · $116M to $125M
Oct 12, 2023 to Feb 14, 2024
Accounts · 402 to 410
Oct 24, 2022 to Mar 10, 2023
HNW clients · 71 to 70
Oct 24, 2022 to Mar 10, 2023
Individual clients · 132 to 137
Oct 24, 2022 to Mar 10, 2023
Pension plan clients · 0 to 3
Oct 24, 2022 to Mar 10, 2023
HNW RAUM · $103M to $87.7M
Oct 24, 2022 to Mar 10, 2023
Individual RAUM · $27.3M to $26.8M
Oct 24, 2022 to Mar 10, 2023
Non-discretionary RAUM · $130M to $116M
Oct 24, 2022 to Mar 10, 2023
Pension RAUM · $0 to $2.0M
Oct 24, 2022 to Mar 10, 2023
RAUM · $130M to $116M
Oct 24, 2022 to Mar 10, 2023
Advisory employees · 4 to 5
Mar 3, 2022 to Aug 12, 2022
BD registered reps · 2 to 3
Mar 3, 2022 to Aug 12, 2022
Employees · 4 to 5
Mar 3, 2022 to Aug 12, 2022
Accounts · 396 to 402
Mar 10, 2021 to Mar 3, 2022
HNW clients · 73 to 71
Mar 10, 2021 to Mar 3, 2022
Individual clients · 123 to 132
Mar 10, 2021 to Mar 3, 2022
HNW RAUM · $97.2M to $103M
Mar 10, 2021 to Mar 3, 2022
Individual RAUM · $25.5M to $27.3M
Mar 10, 2021 to Mar 3, 2022
Non-discretionary RAUM · $123M to $130M
Mar 10, 2021 to Mar 3, 2022
RAUM · $123M to $130M
Mar 10, 2021 to Mar 3, 2022
Accounts · 399 to 396
Aug 19, 2020 to Mar 10, 2021
HNW clients · 63 to 73
Aug 19, 2020 to Mar 10, 2021
Individual clients · 136 to 123
Aug 19, 2020 to Mar 10, 2021
HNW RAUM · $94.4M to $97.2M
Aug 19, 2020 to Mar 10, 2021
Individual RAUM · $21.6M to $25.5M
Aug 19, 2020 to Mar 10, 2021
Non-discretionary RAUM · $116M to $123M
Aug 19, 2020 to Mar 10, 2021
RAUM · $116M to $123M
Aug 19, 2020 to Mar 10, 2021
Accounts · 421 to 399
Mar 14, 2019 to Mar 11, 2020
HNW clients · 36 to 63
Mar 14, 2019 to Mar 11, 2020
Individual clients · 156 to 136
Mar 14, 2019 to Mar 11, 2020
HNW RAUM · $72.1M to $94.4M
Mar 14, 2019 to Mar 11, 2020
Individual RAUM · $33.7M to $21.6M
Mar 14, 2019 to Mar 11, 2020
Non-discretionary RAUM · $106M to $116M
Mar 14, 2019 to Mar 11, 2020
RAUM · $106M to $116M
Mar 14, 2019 to Mar 11, 2020
Accounts · 256 to 421
Feb 7, 2018 to Mar 14, 2019
Charity clients · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
Corporate clients · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
HNW clients · 38 to 36
Feb 7, 2018 to Mar 14, 2019
Individual clients · 161 to 156
Feb 7, 2018 to Mar 14, 2019
Pension plan clients · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
Pooled vehicle clients · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
HNW RAUM · $70.2M to $72.1M
Feb 7, 2018 to Mar 14, 2019
Individual RAUM · $46.2M to $33.7M
Feb 7, 2018 to Mar 14, 2019
Non-discretionary RAUM · $116M to $106M
Feb 7, 2018 to Mar 14, 2019
Pension RAUM · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
Pooled vehicle RAUM · unset to 0.0
Feb 7, 2018 to Mar 14, 2019
RAUM · $116M to $106M
Feb 7, 2018 to Mar 14, 2019
Accounts · 388 to 256
Feb 8, 2017 to Feb 7, 2018
Advisory employees · 3 to 4
Feb 8, 2017 to Feb 7, 2018
HNW clients · unset to 38.0
Feb 8, 2017 to Feb 7, 2018
Individual clients · unset to 161.0
Feb 8, 2017 to Feb 7, 2018
Employees · 3 to 4
Feb 8, 2017 to Feb 7, 2018

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

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, Feb 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 4, 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: $53.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026