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

A••••••• G•••• F•••••••• S•••••••• L••

Former SEC-registered adviserUtica, New YorkCRD 151451SEC 801-109956IAPD
Latest filing Mar 26, 2021
First filing on the tape Feb 2, 2012 · 17 filings
RAUM
$27.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
17 filings and snapshots on the tape
RAUM$27.7M as of Mar 26, 2021
Feb 2, 2012$25.3M then
HNW client RAUM$4.6M as of Mar 26, 2021
Apr 12, 2018$5.6M then
State-registered IARs (5.B.3)2 as of Mar 26, 2021
Jan 25, 20130 then
Employees (5.A)2 as of Mar 26, 2021
Jan 25, 20136 then
Private funds: no history
RAUM -6.6% over the last fiscal year+0.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
$13.8MderivedRAUM 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
$186,897derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.6%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$23.0M83%
  • High-net-worth individuals$4.6M17%
Individual clients
85reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
148reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••••• R•••••• K•••••• · Chief Compliance Officer / Membercontrol
      since 10/2009 · owns 75% or more
    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 · 91 to 148
      Jul 22, 2020 to Mar 26, 2021
    • Individual clients · 91 to 85
      Jul 22, 2020 to Mar 26, 2021
    • Discretionary RAUM · $29.6M to $27.7M
      Jul 22, 2020 to Mar 26, 2021
    • HNW RAUM · $6.4M to $4.6M
      Jul 22, 2020 to Mar 26, 2021
    • Individual RAUM · $23.2M to $23.0M
      Jul 22, 2020 to Mar 26, 2021
    • RAUM · $29.6M to $27.7M
      Jul 22, 2020 to Mar 26, 2021
    • Accounts · 159 to 91
      Feb 21, 2019 to Mar 11, 2020
    • Individual clients · 155 to 91
      Feb 21, 2019 to Mar 11, 2020
    • Insurance-licensed employees · 1 to 2
      Feb 21, 2019 to Mar 11, 2020
    • Discretionary RAUM · $25.1M to $29.6M
      Feb 21, 2019 to Mar 11, 2020
    • HNW RAUM · $5.8M to $6.4M
      Feb 21, 2019 to Mar 11, 2020
    • Individual RAUM · $19.3M to $23.2M
      Feb 21, 2019 to Mar 11, 2020
    • RAUM · $25.1M to $29.6M
      Feb 21, 2019 to Mar 11, 2020
    • Accounts · 186 to 159
      Apr 12, 2018 to Feb 21, 2019
    • Individual clients · 182 to 155
      Apr 12, 2018 to Feb 21, 2019
    • Discretionary RAUM · $26.9M to $25.1M
      Apr 12, 2018 to Feb 21, 2019
    • HNW RAUM · $5.6M to $5.8M
      Apr 12, 2018 to Feb 21, 2019
    • Individual RAUM · $21.3M to $19.3M
      Apr 12, 2018 to Feb 21, 2019
    • RAUM · $26.9M to $25.1M
      Apr 12, 2018 to Feb 21, 2019
    • Accounts · 215 to 186
      Sep 29, 2017 to Apr 12, 2018
    • Individual clients · unset to 182.0
      Sep 29, 2017 to Apr 12, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Apr 12, 2018
    • Discretionary RAUM · $32.2M to $26.9M
      Sep 29, 2017 to Apr 12, 2018
    • HNW RAUM · unset to 5629395.0
      Sep 29, 2017 to Apr 12, 2018
    • Individual RAUM · unset to 21300771.0
      Sep 29, 2017 to Apr 12, 2018
    • RAUM · $32.2M to $26.9M
      Sep 29, 2017 to Apr 12, 2018
    • Advisory employees · 3 to 2
      Jan 31, 2017 to Sep 29, 2017
    • BD registered reps · 3 to 2
      Jan 31, 2017 to Sep 29, 2017
    • Employees · 3 to 2
      Jan 31, 2017 to Sep 29, 2017
    • State-registered IARs · 3 to 2
      Jan 31, 2017 to Sep 29, 2017
    • Accounts · 218 to 215
      May 28, 2013 to Jan 31, 2017
    • Advisory employees · 6 to 3
      May 28, 2013 to Jan 31, 2017
    • BD registered reps · 6 to 3
      May 28, 2013 to Jan 31, 2017
    • Employees · 6 to 3
      May 28, 2013 to Jan 31, 2017
    • Insurance-licensed employees · 0 to 1
      May 28, 2013 to Jan 31, 2017
    • State-registered IARs · 0 to 3
      May 28, 2013 to Jan 31, 2017
    • Discretionary RAUM · $24.8M to $32.2M
      May 28, 2013 to Jan 31, 2017
    • RAUM · $24.8M to $32.2M
      May 28, 2013 to Jan 31, 2017
    • Accounts · 235 to 218
      Jan 10, 2013 to Jan 25, 2013
    • Advisory employees · 5 to 6
      Jan 10, 2013 to Jan 25, 2013
    Signals
    1 dated events
    • A••••••• G•••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 31, 2017 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026