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
A••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since May 21, 2009
RAUM
$167M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$167M as of Mar 6, 2026
Feb 14, 2012$34.4M then
HNW client RAUM$125M as of Mar 6, 2026
Mar 27, 2018$49.6M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Feb 14, 20120 then
Employees (5.A)2 as of Mar 6, 2026
Mar 11, 20133 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- $83.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $481,651derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $36.5M, 28 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M75%
- Individuals$42.3M25%
- Individual clients
- 64reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 347reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.5M for 28 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| H•••• J•••• W••••••• | Syracuse, Ny | Aug 27, 2021 | 14 y | 0 |
| M•••••• J• A••••• | Syracuse, Ny | Aug 28, 2021 | 17 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
- A•••••• M••••••• J• · Managing Membercontrolsince 02/2017 · owns 50% to 75%
- W•••••••• H••••• J•••• · Managing Membercontrolsince 02/2017 · 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 |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 317 to 347Mar 26, 2025 to Mar 6, 2026
- HNW clients · 30 to 31Mar 26, 2025 to Mar 6, 2026
- Individual clients · 58 to 64Mar 26, 2025 to Mar 6, 2026
- Assets in custody · $28.4M to $36.5MMar 26, 2025 to Mar 6, 2026
- Discretionary RAUM · $123M to $144MMar 26, 2025 to Mar 6, 2026
- HNW RAUM · $111M to $125MMar 26, 2025 to Mar 6, 2026
- Individual RAUM · $33.3M to $42.3MMar 26, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $21.1M to $23.4MMar 26, 2025 to Mar 6, 2026
- RAUM · $144M to $167MMar 26, 2025 to Mar 6, 2026
- Accounts · 301 to 317Mar 27, 2024 to Mar 26, 2025
- Individual clients · 57 to 58Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $22.6M to $28.4MMar 27, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $111M to $123MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $90.7M to $111MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $28.6M to $33.3MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $8.4M to $21.1MMar 27, 2024 to Mar 26, 2025
- RAUM · $119M to $144MMar 27, 2024 to Mar 26, 2025
- Accounts · 302 to 301Mar 23, 2023 to Mar 27, 2024
- HNW clients · 28 to 30Mar 23, 2023 to Mar 27, 2024
- Individual clients · 60 to 57Mar 23, 2023 to Mar 27, 2024
- Assets in custody · $20.7M to $22.6MMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $98.6M to $111MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $80.4M to $90.7MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $33.2M to $28.6MMar 23, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $14.9M to $8.4MMar 23, 2023 to Mar 27, 2024
- RAUM · $114M to $119MMar 23, 2023 to Mar 27, 2024
- Accounts · 289 to 302Mar 22, 2022 to Mar 23, 2023
- HNW clients · 26 to 28Mar 22, 2022 to Mar 23, 2023
- Assets in custody · $18.8M to $20.7MMar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $100M to $98.6MMar 22, 2022 to Mar 23, 2023
- HNW RAUM · $79.9M to $80.4MMar 22, 2022 to Mar 23, 2023
- Individual RAUM · $39.2M to $33.2MMar 22, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $18.9M to $14.9MMar 22, 2022 to Mar 23, 2023
- RAUM · $119M to $114MMar 22, 2022 to Mar 23, 2023
- Accounts · 259 to 289Mar 30, 2021 to Mar 22, 2022
- HNW clients · 24 to 26Mar 30, 2021 to Mar 22, 2022
- Assets in custody · $17.5M to $18.8MMar 30, 2021 to Mar 22, 2022
- State-registered IARs · 0 to 2Mar 30, 2021 to Mar 22, 2022
- Discretionary RAUM · $82.7M to $100MMar 30, 2021 to Mar 22, 2022
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 email
- i•••@a•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 315-423-2825reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 315-410-1545reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 315-423-2808reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••CM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-701-6452reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- a•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••.comreportedpublished by the firm, firm site, Sep 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
- $83.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026