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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Former SEC-registered adviser
P••••••• C••••••••• I•••
Latest filing Mar 25, 2024
First filing on the tape Mar 20, 2012 · 26 filings
RAUM
$5.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.5M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$169M as of Feb 9, 2023
Mar 20, 2012$61.4M then
HNW client RAUM$1.7M as of Mar 24, 2022
Mar 22, 2018$34.1M then
State-registered IARs (5.B.3)4 as of Feb 9, 2023
Mar 20, 20120 then
Employees (5.A)5 as of Feb 9, 2023
Mar 13, 20136 then
Private funds: no history
RAUM -97% over the last fiscal year-76% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $1.5MderivedRAUM 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
- $5.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• L••••• M•••••••• | Utica, Ny | Dec 6, 2019 | 34 y | 2 |
| S•••• A••• M••••••• | Utica, Ny | Dec 17, 2019 | 14 y | 1 |
| R•••••• M•••• A••••• | Utica, Ny | Apr 26, 2021 | 18 y | 1 |
| L••••• A•• S••••• | Tequesta, Fl | Apr 26, 2021 | 35 y | 2 |
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 headcount2 left over 36 months
Left, latest
- A•• L••••• M•••••••• to D••••••••• F•••••••• G••••• L••Mar 25, 2024 · Other
- L••••• A•• S••••• to D••••••••• F•••••••• G••••• L••Mar 25, 2024 · Other
- S•••• A••• M••••••• to O•••• W•••••• I•••Nov 10, 2022 · Other
- G••• G•••• C•••• to L•• F•••••••• L••May 6, 2020 · RIA to affiliated broker-dealer or bank
- J••••• P••••• W••••••• to C•••••• G•••• • C• I••Apr 29, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• P••••• W••••••• from D••••••••• F•••••••• G••••• L••Mar 30, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for D••••••••• F•••••••• G••••• L••Mar 25, 2024 · Utica, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• A••• L••••• · Executive Vice Presidentcontrolsince 06/2010 · owns 25% to 50%
- S•••••• L•••••• A•• · Chief Compliance Officercontrolsince 04/2019 · 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 |
|---|---|---|---|---|---|
| Utica, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 1Feb 9, 2023 to Mar 25, 2024
- Advisory employees · 4 to 2Feb 9, 2023 to Mar 25, 2024
- Advisory activities · 3 to 1Feb 9, 2023 to Mar 25, 2024
- BD registered reps · 5 to 4Feb 9, 2023 to Mar 25, 2024
- Employees · 5 to 4Feb 9, 2023 to Mar 25, 2024
- State-registered IARs · 4 to 2Feb 9, 2023 to Mar 25, 2024
- Discretionary RAUM · $412,667 to $0Feb 9, 2023 to Mar 25, 2024
- Individual RAUM · 412667.0 to unsetFeb 9, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $168M to $5.9MFeb 9, 2023 to Mar 25, 2024
- Pension RAUM · $168M to $5.9MFeb 9, 2023 to Mar 25, 2024
- RAUM · $169M to $5.9MFeb 9, 2023 to Mar 25, 2024
- Wrap assets (manager) · 412667.0 to unsetFeb 9, 2023 to Mar 25, 2024
- Wrap assets (sponsor) · 0.0 to unsetFeb 9, 2023 to Mar 25, 2024
- Accounts · 16 to 4May 20, 2022 to Feb 9, 2023
- Pension plan clients · 11.0 to unsetMay 20, 2022 to Feb 9, 2023
- Discretionary RAUM · $2.1M to $412,667May 20, 2022 to Feb 9, 2023
- HNW RAUM · 1702352.0 to unsetMay 20, 2022 to Feb 9, 2023
- Individual RAUM · $422,774 to $412,667May 20, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $210M to $168MMay 20, 2022 to Feb 9, 2023
- Pension RAUM · $210M to $168MMay 20, 2022 to Feb 9, 2023
- RAUM · $212M to $169MMay 20, 2022 to Feb 9, 2023
- Wrap assets (manager) · $2.1M to $412,667May 20, 2022 to Feb 9, 2023
- Accounts · 324 to 16Jan 3, 2022 to Mar 24, 2022
- Charity clients · 5 to 0Jan 3, 2022 to Mar 24, 2022
- HNW clients · 35.0 to unsetJan 3, 2022 to Mar 24, 2022
- Individual clients · 170.0 to unsetJan 3, 2022 to Mar 24, 2022
- Pension plan clients · 28 to 11Jan 3, 2022 to Mar 24, 2022
- Discretionary RAUM · $66.5M to $2.1MJan 3, 2022 to Mar 24, 2022
- HNW RAUM · $31.5M to $1.7MJan 3, 2022 to Mar 24, 2022
- Individual RAUM · $30.9M to $422,774Jan 3, 2022 to Mar 24, 2022
- Non-discretionary RAUM · $274M to $210MJan 3, 2022 to Mar 24, 2022
- Pension RAUM · $277M to $210MJan 3, 2022 to Mar 24, 2022
- RAUM · $341M to $212MJan 3, 2022 to Mar 24, 2022
- Related adviser · true to falseJan 3, 2022 to Mar 24, 2022
- Wrap assets (manager) · $66.5M to $2.1MJan 3, 2022 to Mar 24, 2022
- Accounts · 620 to 324Dec 7, 2020 to Mar 26, 2021
- Advisory employees · 5 to 4Dec 7, 2020 to Mar 26, 2021
- BD registered reps · 6 to 5Dec 7, 2020 to Mar 26, 2021
- Charity clients · 7 to 5Dec 7, 2020 to Mar 26, 2021
- HNW clients · 59 to 35Dec 7, 2020 to Mar 26, 2021
Signals
8 dated events
- P••••••• C••••••••• I••• reported RAUM $5.9M, down 96% from $168.5M (2023-02-09 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- 2 advisors left P••••••• C••••••••• I••• (Utica, NY) for D••••••••• F•••••••• G••••• L•• on the same dayMar 25, 2024 · Team lift-out · derived
- L••••• A•• S••••• left P••••••• C••••••••• I••• for D••••••••• F•••••••• G••••• L•• (registered 2014-04-25)Mar 25, 2024 · Advisor changed firm · fact
- A•• L••••• M•••••••• left P••••••• C••••••••• I••• for D••••••••• F•••••••• G••••• L•• (registered 2014-04-25)Mar 25, 2024 · Advisor changed firm · fact
- S•••• A••• M••••••• left P••••••• C••••••••• I••• for O•••• W•••••• I••• (registered 2019-12-17)Nov 10, 2022 · Advisor changed firm · fact
- P••••••• C••••••••• I••• reported RAUM $211.7M, down 38% from $340.7M (2022-01-03 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- P••••••• C••••••••• I••• reported RAUM $440.3M, up 395% from $88.9M (2019-04-18 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Powers Janice Williams (Chief Compliance Officer) no longer on Schedule A of P••••••• C••••••••• I••• (listed 2019-03-22, absent 2019-04-18)Apr 18, 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.
How to reach
public business contact points only, each with its source
- Website
- P•••••••CI.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026