DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••••••• W••••• M••••••••• I•••
Latest filing Apr 23, 2026
First filing on the tape Feb 14, 2012 · 30 filings
SEC status approved since Mar 31, 2009
RAUM
$285M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$276M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$71.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$285M as of Apr 23, 2026
Feb 14, 2012$34.5M then
HNW client RAUM$165M as of Apr 23, 2026
Mar 28, 2018$41.0M then
State-registered IARs (5.B.3)4 as of Apr 23, 2026
Feb 14, 20120 then
Employees (5.A)4 as of Apr 23, 2026
Jan 29, 20132 then
Private funds: no history
RAUM +23% over the last fiscal year+25% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Apr 23, 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
- RAUM per advisor
- $71.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $214,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%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
- $86.4M, 215 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$165M58%
- Individuals$111M39%
- Pension and profit-sharing plans$7.3M2.5%
- Charitable organizations$1.6M0.5%
- Corporations and businesses$670,0000.2%
- Individual clients
- 477reported
- HNW clients
- 87reported
- Pension plan clients
- 19reported
- Charitable clients
- 9reported
- Accounts
- 1,328reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.4M for 215 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• D••••• M•••••••• | Ithaca, Ny | Mar 21, 2017 | 27 y | 1 |
| M•••••• S• V••••••••• | Ithaca, Ny | Mar 11, 2021 | 13 y | 0 |
| M••••••• M••••••••Certified Financial Planner | Ithaca, Ny | May 21, 2021 | 13 y | 0 |
| K••••• D••••••••• T••••• | Ithaca, Ny | May 15, 2025 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K••••• D••••••••• T••••• from L•• E••••••••• L••May 15, 2025 · Other
- S•••• D••••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 21, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M••••••• · Managing Partner & Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- M••••••••• S••••• D••••• · Chief Executive Officer & Foundercontrolsince 04/2009 · owns 75% or more
- V••••••••• M••••••• S• · Managing Partnercontrolsince 06/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Ithaca, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 23, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-03-18, yes on the filing of 2026-04-23peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Mar 18, 2026 to Apr 23, 2026
- Accounts · 1,289 to 1,328Mar 14, 2025 to Mar 18, 2026
- Advisory employees · 3 to 4Mar 14, 2025 to Mar 18, 2026
- BD registered reps · 1 to 2Mar 14, 2025 to Mar 18, 2026
- Charity clients · 5 to 9Mar 14, 2025 to Mar 18, 2026
- HNW clients · 95 to 87Mar 14, 2025 to Mar 18, 2026
- Individual clients · 452 to 477Mar 14, 2025 to Mar 18, 2026
- Pension plan clients · 15 to 19Mar 14, 2025 to Mar 18, 2026
- Assets in custody · $64.3M to $86.4MMar 14, 2025 to Mar 18, 2026
- Employees · 3 to 4Mar 14, 2025 to Mar 18, 2026
- State-registered IARs · 3 to 4Mar 14, 2025 to Mar 18, 2026
- Discretionary RAUM · $232M to $285MMar 14, 2025 to Mar 18, 2026
- HNW RAUM · $139M to $165MMar 14, 2025 to Mar 18, 2026
- Individual RAUM · $87.7M to $111MMar 14, 2025 to Mar 18, 2026
- Pension RAUM · $4.6M to $7.3MMar 14, 2025 to Mar 18, 2026
- RAUM · $232M to $285MMar 14, 2025 to Mar 18, 2026
- Accounts · 1,374 to 1,289Feb 27, 2024 to Mar 14, 2025
- Charity clients · 4 to 5Feb 27, 2024 to Mar 14, 2025
- HNW clients · 85 to 95Feb 27, 2024 to Mar 14, 2025
- Individual clients · 403 to 452Feb 27, 2024 to Mar 14, 2025
- Pension plan clients · 6 to 15Feb 27, 2024 to Mar 14, 2025
- Assets in custody · $113M to $64.3MFeb 27, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Feb 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $185M to $232MFeb 27, 2024 to Mar 14, 2025
- HNW RAUM · $122M to $139MFeb 27, 2024 to Mar 14, 2025
- Individual RAUM · $59.5M to $87.7MFeb 27, 2024 to Mar 14, 2025
- Pension RAUM · $2.4M to $4.6MFeb 27, 2024 to Mar 14, 2025
- RAUM · $185M to $232MFeb 27, 2024 to Mar 14, 2025
- Accounts · 1,094 to 1,374Sep 18, 2023 to Feb 27, 2024
- Charity clients · unset to 4.0Sep 18, 2023 to Feb 27, 2024
- HNW clients · 50 to 85Sep 18, 2023 to Feb 27, 2024
- Individual clients · 415 to 403Sep 18, 2023 to Feb 27, 2024
- Pension plan clients · 15 to 6Sep 18, 2023 to Feb 27, 2024
- Assets in custody · $50.3M to $113MSep 18, 2023 to Feb 27, 2024
- Financial planning clients · 1-10 to 0Sep 18, 2023 to Feb 27, 2024
- Discretionary RAUM · $148M to $185MSep 18, 2023 to Feb 27, 2024
- HNW RAUM · $82.0M to $122MSep 18, 2023 to Feb 27, 2024
- Individual RAUM · $63.5M to $59.5MSep 18, 2023 to Feb 27, 2024
- Pension RAUM · $2.4M to $2.4MSep 18, 2023 to Feb 27, 2024
- RAUM · $148M to $185MSep 18, 2023 to Feb 27, 2024
Signals
1 dated events
- S. Melissa Vanderhoof (Managing Partner) appeared on Schedule A of F••••••••• W••••• M••••••••• I•••Feb 2, 2022 · Control person joined · 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 phone
- 607-257-1008reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-846-2488reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.f••.ioreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 607-257-1008reportedpublic record, Form ADV, Apr 23, 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
- $71.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026