DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M•••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 20, 2017 · 13 filings
SEC status approved since Jan 27, 2017
RAUM
$110M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
71%
$78.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.2M
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
13 filings and snapshots on the tape
RAUM$110M as of Mar 31, 2026
Feb 28, 2018$54.1M then
HNW client RAUM$52.1M as of Mar 31, 2026
Feb 28, 2018$22.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 28, 20181 then
Employees (5.A)2 as of Mar 31, 2026
Feb 28, 20182 then
Private funds: no history
RAUM +15% over the last fiscal year+9.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $307,597derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 29%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$52.1M47%
- Pension and profit-sharing plans$30.1M27%
- Individuals$26.5M24%
- Charitable organizations$1.7M1.5%
- Individual clients
- 68reported
- HNW clients
- 27reported
- Pension plan clients
- 6reported
- Charitable clients
- 2reported
- Accounts
- 359reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• M• C••••••Certified Financial Planner | Rensselaer, Ny | Apr 30, 2021 | 21 y | 2 |
| O••••• A••• M••••••Certified Financial Planner | Rensselaer, Ny | Apr 30, 2021 | 27 y | 1 |
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
- H•••• M• C•••••• from B••••• H•••••• R••••••••• S••••••••• L••Apr 30, 2021 · Other
- O••••• A••• M•••••• from W•••• F•••• A•••••••Apr 30, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• O•••••• A••• · President, Ccocontrolsince 06/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Rensselaer, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 344 to 359Mar 27, 2025 to Mar 31, 2026
- HNW clients · 29 to 27Mar 27, 2025 to Mar 31, 2026
- Individual clients · 64 to 68Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $96.2M to $108MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $48.8M to $52.1MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $20.1M to $26.5MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $2.7MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $25.8M to $30.1MMar 27, 2025 to Mar 31, 2026
- RAUM · $96.2M to $110MMar 27, 2025 to Mar 31, 2026
- Accounts · 334 to 344Mar 27, 2024 to Mar 27, 2025
- HNW clients · 31 to 29Mar 27, 2024 to Mar 27, 2025
- Individual clients · 66 to 64Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $92.0M to $96.2MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $45.0M to $48.8MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $18.0M to $20.1MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $27.7M to $25.8MMar 27, 2024 to Mar 27, 2025
- RAUM · $92.0M to $96.2MMar 27, 2024 to Mar 27, 2025
- Accounts · 322 to 334Mar 24, 2023 to Mar 27, 2024
- HNW clients · 25 to 31Mar 24, 2023 to Mar 27, 2024
- Individual clients · 69 to 66Mar 24, 2023 to Mar 27, 2024
- Pension plan clients · 7 to 6Mar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $84.2M to $92.0MMar 24, 2023 to Mar 27, 2024
- HNW RAUM · $36.5M to $45.0MMar 24, 2023 to Mar 27, 2024
- Individual RAUM · $19.6M to $18.0MMar 24, 2023 to Mar 27, 2024
- Pension RAUM · $26.9M to $27.7MMar 24, 2023 to Mar 27, 2024
- RAUM · $84.2M to $92.0MMar 24, 2023 to Mar 27, 2024
- Accounts · 317 to 322Mar 30, 2022 to Mar 24, 2023
- HNW clients · 23 to 25Mar 30, 2022 to Mar 24, 2023
- Individual clients · 67 to 69Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $93.1M to $84.2MMar 30, 2022 to Mar 24, 2023
- HNW RAUM · $38.8M to $36.5MMar 30, 2022 to Mar 24, 2023
- Individual RAUM · $22.6M to $19.6MMar 30, 2022 to Mar 24, 2023
- Pension RAUM · $30.6M to $26.9MMar 30, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 30, 2022 to Mar 24, 2023
- RAUM · $93.1M to $84.2MMar 30, 2022 to Mar 24, 2023
- Accounts · 293 to 317Mar 29, 2021 to Mar 30, 2022
- HNW clients · 27 to 23Mar 29, 2021 to Mar 30, 2022
- Individual clients · 55 to 67Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $84.0M to $93.1MMar 29, 2021 to Mar 30, 2022
Signals
1 dated events
- M•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 20, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 518-328-8104reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 518-328-8104reportedpublic record, Form ADV, Mar 31, 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
- $55.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026