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.
SEC-registered adviser
Seneca Financial Advisors LLC
Latest filing Jun 25, 2026
First filing on the tape Mar 27, 2012 · 34 filings
SEC status approved since Feb 8, 2010
RAUM
$847M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
96%
$816M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
19
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$847M as of Jun 25, 2026
Mar 27, 2012$143M then
HNW client RAUM$766M as of Jun 25, 2026
Mar 6, 2018$272M then
State-registered IARs (5.B.3)5 as of Jun 25, 2026
Mar 27, 20120 then
Employees (5.A)19 as of Jun 25, 2026
Mar 28, 201311 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $751,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $11.0M, 8 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)
- 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$766M92%
- Individuals$50.9M6.1%
- Corporations and businesses$16.4M2.0%
- Individual clients
- 194reported
- HNW clients
- 159reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,128reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.0M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Michael LefebrePersonal Financial Specialist | Rochester, Ny | Nov 13, 2018 | 18 y | 1 |
| Zachary Richard ErskineCertified Financial Planner | Rochester, Ny | Nov 13, 2018 | 15 y | 0 |
| Elizabeth Mezei RaabeCertified Financial Planner | Rochester, Ny | Nov 6, 2020 | 43 y | 4 |
| Stephen George Green | Rochester, Ny | Jul 30, 2021 | 16 y | 0 |
| Matthew James DarcyChartered Financial Analyst | Rochester, Ny | Mar 13, 2023 | 10 y | 0 |
| Christina Ann LarkinCertified Financial Planner | Rochester, Ny | Jun 25, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- John Garrett Klee to High Falls Advisors, Inc.Nov 14, 2025 · RIA to RIA
Joined, latest
- Elizabeth Mezei Raabe from Frontier Wealth Management, LLCNov 6, 2020 · RIA to RIA
- Scott Michael Lefebre from Nixon Peabody Financial Advisors LLCNov 13, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Matthew Darcy · Member & Chief Investment Officercontrolsince 01/2024 · owns 10% to 25%
- Richard Zachary Erskine · Member & Senior Wealth Advisorcontrolsince 01/2024 · owns 10% to 25%
- George Stephen Green · Member & Chief Executive Officercontrolsince 01/2010 · owns 25% to 50%
- Michael Scott Lefebre · Member & Managing Director, Business Developmentcontrolsince 01/2010 · owns 25% to 50%
- Susan Kimberly Merry · Member & Business Managercontrolsince 01/2024 · owns 5% to 10%
- Mezei Elizabeth Raabe · Member, Chief Compliance Officer & Senior Wealth Advisorcontrolsince 01/2024 · owns 5% to 10%
Related persons
Schedule D 7.A
- G. Joseph Votava, Jr.y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 6 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Washington, DC2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jun 25, 2026employees per registered advisor of 3.2 against a peer median of 1.4 (947 comparable advisers, 99.0th percentile, 4.5 robust deviations)peers: independent wealth managers, $500M to $1B (947) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,072 to 1,128Feb 18, 2025 to Feb 11, 2026
- Advisory employees · 6 to 5Feb 18, 2025 to Feb 11, 2026
- Corporate clients · unset to 5.0Feb 18, 2025 to Feb 11, 2026
- HNW clients · 143 to 159Feb 18, 2025 to Feb 11, 2026
- Individual clients · 177 to 194Feb 18, 2025 to Feb 11, 2026
- Assets in custody · $14.4M to $11.0MFeb 18, 2025 to Feb 11, 2026
- State-registered IARs · 6 to 5Feb 18, 2025 to Feb 11, 2026
- Discretionary RAUM · $606M to $740MFeb 18, 2025 to Feb 11, 2026
- HNW RAUM · $611M to $766MFeb 18, 2025 to Feb 11, 2026
- Individual RAUM · $61.8M to $50.9MFeb 18, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $87.6M to $107MFeb 18, 2025 to Feb 11, 2026
- RAUM · $694M to $847MFeb 18, 2025 to Feb 11, 2026
- Accounts · 1,009 to 1,072Dec 23, 2024 to Feb 18, 2025
- Advisory employees · 7 to 6Dec 23, 2024 to Feb 18, 2025
- HNW clients · 150 to 143Dec 23, 2024 to Feb 18, 2025
- Individual clients · 185 to 177Dec 23, 2024 to Feb 18, 2025
- Assets in custody · unset to 14406188.0Dec 23, 2024 to Feb 18, 2025
- Custody of client assets · false to trueDec 23, 2024 to Feb 18, 2025
- Financial planning clients · 251-500 to 251-500Dec 23, 2024 to Feb 18, 2025
- State-registered IARs · 7 to 6Dec 23, 2024 to Feb 18, 2025
- Discretionary RAUM · $535M to $606MDec 23, 2024 to Feb 18, 2025
- HNW RAUM · $538M to $611MDec 23, 2024 to Feb 18, 2025
- Individual RAUM · $49.2M to $61.8MDec 23, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $71.6M to $87.6MDec 23, 2024 to Feb 18, 2025
- RAUM · $607M to $694MDec 23, 2024 to Feb 18, 2025
- Accounts · 930 to 1,009Jan 8, 2024 to Jan 22, 2024
- Advisory employees · 6 to 7Jan 8, 2024 to Jan 22, 2024
- Corporate clients · 5.0 to unsetJan 8, 2024 to Jan 22, 2024
- HNW clients · 145 to 150Jan 8, 2024 to Jan 22, 2024
- Individual clients · 169 to 185Jan 8, 2024 to Jan 22, 2024
- State-registered IARs · 6 to 7Jan 8, 2024 to Jan 22, 2024
- Discretionary RAUM · $462M to $535MJan 8, 2024 to Jan 22, 2024
- HNW RAUM · $465M to $538MJan 8, 2024 to Jan 22, 2024
- Individual RAUM · $39.0M to $49.2MJan 8, 2024 to Jan 22, 2024
- Non-discretionary RAUM · $58.8M to $71.6MJan 8, 2024 to Jan 22, 2024
- RAUM · $520M to $607MJan 8, 2024 to Jan 22, 2024
- Accounts · 868 to 930Feb 10, 2022 to Feb 2, 2023
- Charity clients · unset to 0.0Feb 10, 2022 to Feb 2, 2023
- Corporate clients · 6 to 5Feb 10, 2022 to Feb 2, 2023
- HNW clients · 149 to 145Feb 10, 2022 to Feb 2, 2023
Signals
7 dated events
- John Garrett Klee left Seneca Financial Advisors Llc for High Falls Advisors, Inc. (registered 2026-05-04)Nov 14, 2025 · Advisor changed firm · fact
- Mezei Elizabeth Raabe (Member, Chief Compliance Officer & Senior Wealth Advisor) appeared on Schedule A of Seneca Financial Advisors LlcJan 22, 2024 · Control person joined · fact
- Richard Zachary Erskine (Member & Senior Wealth Advisor) appeared on Schedule A of Seneca Financial Advisors LlcJan 22, 2024 · Control person joined · fact
- James Matthew Darcy (Member & Chief Investment Officer) appeared on Schedule A of Seneca Financial Advisors LlcJan 22, 2024 · Control person joined · fact
- Susan Kimberly Merry (Member & Business Manager) appeared on Schedule A of Seneca Financial Advisors LlcJan 22, 2024 · Control person joined · fact
- Joseph G. Jr. Votava (Member & Chief Executive Officer) no longer on Schedule A of Seneca Financial Advisors Llc (listed 2024-01-08, absent 2024-01-22)Jan 22, 2024 · Control person left · inference
- Seneca Financial Advisors Llc reported RAUM $496.2M, up 26% from $393.1M (2020-11-06 to 2021-02-24)Feb 24, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Seneca Financial Advisors LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/seneca-financial-advisors-llc/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SENECAFINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 585-203-1211reportedpublic record, Form ADV, Jun 25, 2026
- Team page
- senecafinancialadvisors.com/who-we-arereportedpublished 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026