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C•••••• P•••••• I••••••••• A•••••••• I•••

Independent wealth managerSEC-registered· Ithaca, New Yorkwebsite

Independent wealth manager, based in Ithaca, New York, reporting $654M of regulatory assets across 5 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $654M
Advisors: 5
Net advisor flow, 12 months: 0
RAUM change, 1 year: +15%
Private clients: 99%

See where advisers went See teams that moved

Advisors (5)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+14.8%
RAUM, one year
RAUM $570M to $654M (+14.8%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 5.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 145355 · SEC 801-68467 · 24 filingsShow

CRD 145355SEC 801-68467First filing on the tape Mar 21, 2012, latest Mar 30, 2026SEC status approved since Oct 24, 2007IAPD

RAUM

$654M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$648M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$131M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 21, 2012

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

RAUM$654M as of Mar 30, 2026

Mar 21, 2012$200M then

HNW client RAUM$546M as of Mar 30, 2026

Mar 12, 2018$228M then

State-registered IARs (5.B.3)5 as of Mar 30, 2026

Mar 14, 20130 then

Employees (5.A)5 as of Mar 30, 2026

Mar 14, 20137 then

Private funds: no history

RAUM +15% over the last fiscal year+14% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: $131MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 110derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $495,034derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 5.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $62.2M, 54 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

83% high-net-worth individuals, 16% individuals, and 1 other client type

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

High-net-worth individuals$546M83%
Individuals$102M16%
Corporations and businesses$6.1M0.9%

Individual clients: 350reported
HNW clients: 199reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1,322reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $62.2M for 54 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 0% 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

M•••••• C• S••••••••• from L•• F•••••••• L••
Jun 12, 2023 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

5 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
N••••• B••••••• M•••Certified Financial Planner, Chartered Financial Analyst	Ithaca, Ny	Apr 20, 2017	38 y	0
S•••• P•••••• O••••••Certified Financial Planner	Ithaca, Ny	Apr 21, 2017	12 y	0
E••• C••••••	Ithaca, Ny	Apr 21, 2017	46 y	0
M•••• E••• O••••••Certified Financial Planner	Ithaca, Ny	Sep 12, 2017	9 y	0
M•••••• C• S•••••••••Certified Financial Planner	Ithaca, Ny	Jun 12, 2023	13 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• L••••• M• · Chief Compliance Officercontrol
since 10/2020 · owns less than 5%
C••••••• E••• · Chief Executive Officercontrol
since 01/2008 · owns 75% or more
M•••• N•••••• B••••••• · Chief Investment Officercontrol
since 03/2019 · owns 10% to 25%
O••••••• S••••• P•••••• · President, Chief Financial Officer & Chief Operating Officercontrol
since 10/2020 · owns 5% to 10%

Related persons

Schedule D 7.A

L•••• M• B•••••••
y
S•••• O••••••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Ithaca, Ny · principal	5	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1,282 to 1,322
Mar 28, 2025 to Mar 30, 2026
Corporate clients · 8 to 6
Mar 28, 2025 to Mar 30, 2026
HNW clients · 174 to 199
Mar 28, 2025 to Mar 30, 2026
Individual clients · 351 to 350
Mar 28, 2025 to Mar 30, 2026
Pension plan clients · unset to 0.0
Mar 28, 2025 to Mar 30, 2026

Full history · 80 changes

Assets in custody · $49.8M to $62.2M
Mar 28, 2025 to Mar 30, 2026
Financial planning clients · 1-10 to 11-25
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $570M to $654M
Mar 28, 2025 to Mar 30, 2026
HNW RAUM · $480M to $546M
Mar 28, 2025 to Mar 30, 2026
Individual RAUM · $82.1M to $102M
Mar 28, 2025 to Mar 30, 2026
Pension RAUM · $2.6M to $0
Mar 28, 2025 to Mar 30, 2026
RAUM · $570M to $654M
Mar 28, 2025 to Mar 30, 2026
Accounts · 1,228 to 1,282
Mar 28, 2024 to Mar 28, 2025
Advisory employees · 6 to 5
Mar 28, 2024 to Mar 28, 2025
Corporate clients · unset to 8.0
Mar 28, 2024 to Mar 28, 2025
HNW clients · 168 to 174
Mar 28, 2024 to Mar 28, 2025
Individual clients · 357 to 351
Mar 28, 2024 to Mar 28, 2025
Assets in custody · $46.4M to $49.8M
Mar 28, 2024 to Mar 28, 2025
Employees · 6 to 5
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · 1-10 to 1-10
Mar 28, 2024 to Mar 28, 2025
State-registered IARs · 6 to 5
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $492M to $570M
Mar 28, 2024 to Mar 28, 2025
HNW RAUM · $392M to $480M
Mar 28, 2024 to Mar 28, 2025
Individual RAUM · $92.5M to $82.1M
Mar 28, 2024 to Mar 28, 2025
Pension RAUM · $5.1M to $2.6M
Mar 28, 2024 to Mar 28, 2025
RAUM · $492M to $570M
Mar 28, 2024 to Mar 28, 2025
Accounts · 1,155 to 1,228
Mar 23, 2023 to Mar 28, 2024
Advisory employees · 5 to 6
Mar 23, 2023 to Mar 28, 2024
HNW clients · 149 to 168
Mar 23, 2023 to Mar 28, 2024
Individual clients · 335 to 357
Mar 23, 2023 to Mar 28, 2024
Assets in custody · $41.5M to $46.4M
Mar 23, 2023 to Mar 28, 2024
Employees · 5 to 6
Mar 23, 2023 to Mar 28, 2024
State-registered IARs · 5 to 6
Mar 23, 2023 to Mar 28, 2024
Discretionary RAUM · $444M to $492M
Mar 23, 2023 to Mar 28, 2024
HNW RAUM · $348M to $392M
Mar 23, 2023 to Mar 28, 2024
Individual RAUM · $78.3M to $92.5M
Mar 23, 2023 to Mar 28, 2024
Pension RAUM · $15.9M to $5.1M
Mar 23, 2023 to Mar 28, 2024
RAUM · $444M to $492M
Mar 23, 2023 to Mar 28, 2024
Accounts · 1,070 to 1,155
Apr 21, 2022 to Mar 23, 2023
HNW clients · 137 to 149
Apr 21, 2022 to Mar 23, 2023
Individual clients · 315 to 335
Apr 21, 2022 to Mar 23, 2023
Assets in custody · $55.5M to $41.5M
Apr 21, 2022 to Mar 23, 2023
Discretionary RAUM · $502M to $444M
Apr 21, 2022 to Mar 23, 2023
HNW RAUM · $388M to $348M
Apr 21, 2022 to Mar 23, 2023
Individual RAUM · $94.3M to $78.3M
Apr 21, 2022 to Mar 23, 2023
Pension RAUM · $18.1M to $15.9M
Apr 21, 2022 to Mar 23, 2023
RAUM · $502M to $444M
Apr 21, 2022 to Mar 23, 2023
Accounts · 1,214 to 1,070
Dec 1, 2021 to Mar 31, 2022
HNW clients · 138 to 137
Dec 1, 2021 to Mar 31, 2022
Individual clients · 390 to 315
Dec 1, 2021 to Mar 31, 2022
Assets in custody · $35.7M to $55.5M
Dec 1, 2021 to Mar 31, 2022
Employees · 7 to 5
Dec 1, 2021 to Mar 31, 2022
Financial planning clients · 0 to 1-10
Dec 1, 2021 to Mar 31, 2022
Discretionary RAUM · $408M to $502M
Dec 1, 2021 to Mar 31, 2022
HNW RAUM · $409M to $388M
Dec 1, 2021 to Mar 31, 2022
Individual RAUM · $98.4M to $94.3M
Dec 1, 2021 to Mar 31, 2022
Non-discretionary RAUM · $117M to $0
Dec 1, 2021 to Mar 31, 2022
Pension RAUM · $15.6M to $18.1M
Dec 1, 2021 to Mar 31, 2022
RAUM · $525M to $502M
Dec 1, 2021 to Mar 31, 2022
Accounts · 1,192 to 1,214
Jan 13, 2021 to Mar 25, 2021
Advisory employees · 6 to 5
Jan 13, 2021 to Mar 25, 2021
Corporate clients · 5.0 to unset
Jan 13, 2021 to Mar 25, 2021
HNW clients · 130 to 138
Jan 13, 2021 to Mar 25, 2021
Individual clients · 366 to 390
Jan 13, 2021 to Mar 25, 2021
Pension plan clients · 1.0 to unset
Jan 13, 2021 to Mar 25, 2021
Assets in custody · $30.9M to $35.7M
Jan 13, 2021 to Mar 25, 2021
Employees · 8 to 7
Jan 13, 2021 to Mar 25, 2021
Financial planning clients · 1-10 to 0
Jan 13, 2021 to Mar 25, 2021
State-registered IARs · 6 to 5
Jan 13, 2021 to Mar 25, 2021
Discretionary RAUM · $362M to $408M
Jan 13, 2021 to Mar 25, 2021
HNW RAUM · $372M to $409M
Jan 13, 2021 to Mar 25, 2021
Individual RAUM · $110M to $98.4M
Jan 13, 2021 to Mar 25, 2021
Non-discretionary RAUM · $135M to $117M
Jan 13, 2021 to Mar 25, 2021
Pension RAUM · $13.6M to $15.6M
Jan 13, 2021 to Mar 25, 2021
RAUM · $497M to $525M
Jan 13, 2021 to Mar 25, 2021
Accounts · 1,134 to 1,192
Mar 14, 2019 to Mar 26, 2020
Advisory employees · 5 to 6
Mar 14, 2019 to Mar 26, 2020
HNW clients · 106 to 130
Mar 14, 2019 to Mar 26, 2020
Individual clients · 369 to 366
Mar 14, 2019 to Mar 26, 2020
Pension plan clients · unset to 1.0
Mar 14, 2019 to Mar 26, 2020

Signals

7 dated events

••• Locked
Mar 30, 2026 · ria principal change · fact
••• Locked
Mar 30, 2026 · ria principal change · fact
••• Locked
Mar 30, 2026 · ria ownership band change · fact
••• Locked
Mar 30, 2026 · ria ownership band change · fact
••• Locked
Jan 13, 2021 · Control person joined · fact

Full timeline · 7 events

••• Locked
Jan 13, 2021 · Control person joined · fact
••• Locked
Mar 26, 2020 · RAUM change · derived

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 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $131Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026