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SEC-registered adviser

M•••••• C••••••• L••

Independent wealth managerSaratoga Springs, New YorkCRD 154517SEC 801-129522websiteIAPD
Latest filing Apr 1, 2026
First filing on the tape Apr 4, 2023 · 5 filings
SEC status approved since Feb 16, 2024
RAUM
$40.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$40.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$40.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$40.6M as of Apr 1, 2026
Mar 31, 2025$36.6M then
HNW client RAUM$40.6M as of Apr 1, 2026
Mar 31, 2025$36.6M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 31, 20251 then
Employees (5.A)1 as of Apr 1, 2026
Mar 31, 20251 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$40.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$967,129derivedHNW RAUM over HNW clients
Average account
$398,230derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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
  • High-net-worth individuals$40.6M100%
Individual clients
0reported
HNW clients
42reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
102reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••• D•••• M• N••••Saratoga Springs, NyApr 3, 202122 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M• N••••• A•••• D•••• · President, Ccocontrol
        since 07/2010 · 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 · 92 to 102
        Mar 31, 2025 to Apr 1, 2026
      • HNW clients · 38 to 42
        Mar 31, 2025 to Apr 1, 2026
      • Discretionary RAUM · $36.6M to $40.6M
        Mar 31, 2025 to Apr 1, 2026
      • HNW RAUM · $36.6M to $40.6M
        Mar 31, 2025 to Apr 1, 2026
      • RAUM · $36.6M to $40.6M
        Mar 31, 2025 to Apr 1, 2026
      • Accounts · 98 to 92
        Jan 17, 2024 to Mar 31, 2025
      • Business name · T••• L••••• F•••••••• to M•••••• C••••••• L••
        Jan 17, 2024 to Mar 31, 2025
      • HNW clients · 32 to 38
        Jan 17, 2024 to Mar 31, 2025
      • Individual clients · 7 to 0
        Jan 17, 2024 to Mar 31, 2025
      • Financial planning clients · 1-10 to 1-10
        Jan 17, 2024 to Mar 31, 2025
      • Legal name · THE M•••••• FINANCIAL GROUP, LLC to M•••••• C••••••• L••
        Jan 17, 2024 to Mar 31, 2025
      • Discretionary RAUM · $30.6M to $36.6M
        Jan 17, 2024 to Mar 31, 2025
      • HNW RAUM · $30.2M to $36.6M
        Jan 17, 2024 to Mar 31, 2025
      • Individual RAUM · 421397.0 to unset
        Jan 17, 2024 to Mar 31, 2025
      • RAUM · $30.6M to $36.6M
        Jan 17, 2024 to Mar 31, 2025
      • Accounts · 104 to 98
        May 19, 2023 to Jan 17, 2024
      • HNW clients · 31 to 32
        May 19, 2023 to Jan 17, 2024
      • Individual clients · 10 to 7
        May 19, 2023 to Jan 17, 2024
      • Discretionary RAUM · $30.9M to $30.6M
        May 19, 2023 to Jan 17, 2024
      • HNW RAUM · $29.7M to $30.2M
        May 19, 2023 to Jan 17, 2024
      • Individual RAUM · $1.1M to $421,397
        May 19, 2023 to Jan 17, 2024
      • RAUM · $30.9M to $30.6M
        May 19, 2023 to Jan 17, 2024
      Signals
      1 dated events
      • T••• L••••• F•••••••• filed its initial SEC registration (Form ADV)
        Apr 4, 2023 · 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.
      How to reach
      public business contact points only, each with its source
      Business phone
      518-364-7899reportedpublished by the firm, firm site, Sep 17, 2026
      Website
      M••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      518-364-7899reportedpublic record, Form ADV, Apr 1, 2026
      Contact form
      m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
      $40.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026