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S••• H••• A••••••• A•• M••••••••• L••

Independent wealth managerSEC-registered· Saratoga Springs, New Yorkwebsite

Independent wealth manager, based in Saratoga Springs, New York, reporting $73.3M of regulatory assets.

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

Regulatory AUM
$73.3M
Advisors
0
RAUM change, 1 year
+8.1%
Private clients
100%
of RAUM, $73.3M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 20 Mar 2026, RAUM $67.8M to $73.3M (+8.1%) on the Form ADV filed 20 Mar 2026, while advisors on the filing fell 3 to 2.

Every filed figure, and the identifiersCRD 149365 · SEC 801-69957 · 24 filingsShow
CRD 149365SEC 801-69957First filing on the tape Nov 22, 2011, latest Mar 20, 2026SEC status approved since Mar 2, 2009IAPD
RAUM
$73.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape

RAUM +6.7% a year over three years · the tape starts Nov 22, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$73.3M as of Mar 20, 2026
Mar 7, 2012$126M then
HNW client RAUM$71.5M as of Mar 20, 2026
May 1, 2018$53.4M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 7, 20120 then
Employees (5.A)3 as of Mar 20, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +8.1% over the last fiscal year+6.7% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • 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
$36.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.8MderivedHNW RAUM over HNW clients
Average account
$928,162derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+8.1%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

98% high-net-worth individuals, 2.4% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$71.5M98%
  • Individuals$1.8M2.4%
Individual clients
2reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
79reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 300% of advisors also broker-dealer representativesderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• F••••••• M•••••• · Managing Membercontrol
        since 02/2009 · owns 25% to 50%
      • T•••••• P•••••• J••• · Managing Member/Chief Compliance Officercontrol
        since 02/2009 · 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.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 92 to 79
        Mar 19, 2025 to Mar 20, 2026
      • State-registered IARs · 3 to 2
        Mar 19, 2025 to Mar 20, 2026
      • Discretionary RAUM · $67.8M to $73.3M
        Mar 19, 2025 to Mar 20, 2026
      • HNW RAUM · $66.2M to $71.5M
        Mar 19, 2025 to Mar 20, 2026
      • Individual RAUM · $1.7M to $1.8M
        Mar 19, 2025 to Mar 20, 2026
      Full history · 80 changes
      • RAUM · $67.8M to $73.3M
        Mar 19, 2025 to Mar 20, 2026
      • Accounts · 101 to 92
        Mar 18, 2024 to Mar 19, 2025
      • HNW clients · 5 to 15
        Mar 18, 2024 to Mar 19, 2025
      • Individual clients · 13 to 2
        Mar 18, 2024 to Mar 19, 2025
      • Financial planning clients · 11-25 to 11-25
        Mar 18, 2024 to Mar 19, 2025
      • Discretionary RAUM · $67.7M to $67.8M
        Mar 18, 2024 to Mar 19, 2025
      • HNW RAUM · $45.7M to $66.2M
        Mar 18, 2024 to Mar 19, 2025
      • Individual RAUM · $21.9M to $1.7M
        Mar 18, 2024 to Mar 19, 2025
      • RAUM · $67.7M to $67.8M
        Mar 18, 2024 to Mar 19, 2025
      • Accounts · 96 to 101
        Mar 21, 2023 to Mar 18, 2024
      • Advisory activities · 3 to 4
        Mar 21, 2023 to Mar 18, 2024
      • Corporate clients · unset to 3.0
        Mar 21, 2023 to Mar 18, 2024
      • HNW clients · unset to 5.0
        Mar 21, 2023 to Mar 18, 2024
      • Individual clients · 19 to 13
        Mar 21, 2023 to Mar 18, 2024
      • Financial planning clients · 1-10 to 11-25
        Mar 21, 2023 to Mar 18, 2024
      • Discretionary RAUM · $60.3M to $67.7M
        Mar 21, 2023 to Mar 18, 2024
      • HNW RAUM · unset to 45747016.0
        Mar 21, 2023 to Mar 18, 2024
      • Individual RAUM · $60.3M to $21.9M
        Mar 21, 2023 to Mar 18, 2024
      • RAUM · $60.3M to $67.7M
        Mar 21, 2023 to Mar 18, 2024
      • Accounts · 77 to 96
        May 9, 2022 to Mar 21, 2023
      • BD registered reps · 2 to 3
        May 9, 2022 to Mar 21, 2023
      • Individual clients · 20 to 19
        May 9, 2022 to Mar 21, 2023
      • Discretionary RAUM · $54.7M to $60.3M
        May 9, 2022 to Mar 21, 2023
      • Individual RAUM · $54.7M to $60.3M
        May 9, 2022 to Mar 21, 2023
      • RAUM · $54.7M to $60.3M
        May 9, 2022 to Mar 21, 2023
      • Accounts · 84 to 77
        Mar 25, 2021 to Mar 21, 2022
      • HNW clients · 19.0 to unset
        Mar 25, 2021 to Mar 21, 2022
      • Individual clients · unset to 20.0
        Mar 25, 2021 to Mar 21, 2022
      • Discretionary RAUM · $53.2M to $54.7M
        Mar 25, 2021 to Mar 21, 2022
      • HNW RAUM · 53160063.0 to unset
        Mar 25, 2021 to Mar 21, 2022
      • Individual RAUM · unset to 54671221.0
        Mar 25, 2021 to Mar 21, 2022
      • RAUM · $53.2M to $54.7M
        Mar 25, 2021 to Mar 21, 2022
      • Accounts · 22 to 84
        Dec 7, 2020 to Mar 19, 2021
      • Advisory employees · 2 to 3
        Dec 7, 2020 to Mar 19, 2021
      • HNW clients · 22 to 19
        Dec 7, 2020 to Mar 19, 2021
      • Employees · 2 to 3
        Dec 7, 2020 to Mar 19, 2021
      • Financial planning clients · 11-25 to 1-10
        Dec 7, 2020 to Mar 19, 2021
      • State-registered IARs · 2 to 3
        Dec 7, 2020 to Mar 19, 2021
      • Discretionary RAUM · $56.4M to $53.2M
        Dec 7, 2020 to Mar 19, 2021
      • HNW RAUM · $56.4M to $53.2M
        Dec 7, 2020 to Mar 19, 2021
      • RAUM · $56.4M to $53.2M
        Dec 7, 2020 to Mar 19, 2021
      • Accounts · 94 to 22
        Mar 26, 2019 to Apr 1, 2020
      • Other offices · 1 to 0
        Mar 26, 2019 to Apr 1, 2020
      • Discretionary RAUM · $48.2M to $56.4M
        Mar 26, 2019 to Apr 1, 2020
      • HNW RAUM · $48.2M to $56.4M
        Mar 26, 2019 to Apr 1, 2020
      • RAUM · $48.2M to $56.4M
        Mar 26, 2019 to Apr 1, 2020
      • Accounts · 98 to 94
        May 1, 2018 to Mar 26, 2019
      • HNW clients · 25 to 22
        May 1, 2018 to Mar 26, 2019
      • Discretionary RAUM · $53.4M to $48.2M
        May 1, 2018 to Mar 26, 2019
      • HNW RAUM · $53.4M to $48.2M
        May 1, 2018 to Mar 26, 2019
      • RAUM · $53.4M to $48.2M
        May 1, 2018 to Mar 26, 2019
      • Accounts · 104 to 98
        Jul 18, 2017 to May 1, 2018
      • HNW clients · unset to 25.0
        Jul 18, 2017 to May 1, 2018
      • Employees · 3 to 2
        Jul 18, 2017 to May 1, 2018
      • Other offices · unset to 1.0
        Jul 18, 2017 to May 1, 2018
      • Discretionary RAUM · $54.9M to $53.4M
        Jul 18, 2017 to May 1, 2018
      • HNW RAUM · unset to 53431412.0
        Jul 18, 2017 to May 1, 2018
      • RAUM · $54.9M to $53.4M
        Jul 18, 2017 to May 1, 2018
      • Related broker-dealer · true to false
        Jul 18, 2017 to May 1, 2018
      • Accounts · 95 to 104
        Apr 1, 2016 to Mar 18, 2017
      • Discretionary RAUM · $50.3M to $54.9M
        Apr 1, 2016 to Mar 18, 2017
      • RAUM · $50.3M to $54.9M
        Apr 1, 2016 to Mar 18, 2017
      • Accounts · 90 to 95
        Mar 23, 2015 to Mar 10, 2016
      • Financial planning clients · 26-50 to 11-25
        Mar 23, 2015 to Mar 10, 2016
      • Discretionary RAUM · $53.3M to $50.3M
        Mar 23, 2015 to Mar 10, 2016
      • RAUM · $53.3M to $50.3M
        Mar 23, 2015 to Mar 10, 2016
      • Accounts · 83 to 90
        Mar 27, 2014 to Mar 23, 2015
      • Financial planning clients · 11-25 to 26-50
        Mar 27, 2014 to Mar 23, 2015
      • Discretionary RAUM · $49.8M to $53.3M
        Mar 27, 2014 to Mar 23, 2015
      • RAUM · $49.8M to $53.3M
        Mar 27, 2014 to Mar 23, 2015
      • Accounts · 96 to 83
        Mar 20, 2013 to Mar 27, 2014
      • Advisory employees · 4 to 2
        Mar 20, 2013 to Mar 27, 2014
      • BD registered reps · 3 to 2
        Mar 20, 2013 to Mar 27, 2014
      • Employees · 4 to 3
        Mar 20, 2013 to Mar 27, 2014
      • Financial planning clients · 0 to 11-25
        Mar 20, 2013 to Mar 27, 2014
      Signals
      1 dated events
      • ••• Locked
        Mar 20, 2026 · ria ownership band change · 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 email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 20, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.