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

Del-Sette Capital Management, LLC

Independent wealth managerSchenectady, New YorkCRD 159052SEC 801-79849website IAPD

Latest filing Sep 3, 2026

First filing on the tape May 27, 2014 · 42 filings

SEC status approved since Jun 5, 2014

RAUM

$193M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$193M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$38.5M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

42 filings and snapshots on the tape

RAUM$193M as of May 14, 2026

Mar 26, 2015$54.3M then

HNW client RAUM$137M as of May 14, 2026

Mar 20, 2018$39.8M then

State-registered IARs (5.B.3)5 as of May 14, 2026

Mar 26, 20151 then

Employees (5.A)8 as of May 14, 2026

Mar 26, 20154 then

Private funds: no history

RAUM +32% over the last fiscal year+14% a year over threeIARs 4 to 5offices 2 to 3

Practice profile

derived from the filing of Sep 3, 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: $38.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 48derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $261,950derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +32%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody: $78.5M, 124 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)
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$137M71%
Individuals$55.7M29%

Individual clients: 184reported
HNW clients: 56reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 735reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $78.5M for 124 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Hermes William Del-SetteCertified Financial Planner	Schenectady, Ny	Feb 2, 2012	28 y	2
Ann Marie Arceo	Schenectady, Ny	Dec 8, 2023	15 y	5
Jeremy Marc Scher	Schenectady, Ny	Nov 3, 2025	18 y	1
Dustin John Troia	Schenectady, Ny	Dec 18, 2025	11 y	0
Rebecca Mason	Schenectady, Ny	Aug 24, 2026	10 y	1

Advisor movement

1 left, 2 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 20% of current headcount2 left over 36 months

Left, latest

Carmen David Caruso to Osaic Wealth, Inc.
Sep 30, 2025 · RIA to affiliated broker-dealer or bank
Leah Nelson to The Table Financial Planning LLC
Mar 25, 2025 · RIA to a state-registered adviser
Carmen David Caruso to Taconic Advisors
Jul 14, 2022 · RIA to RIA
Brenton Wesley Smith to Private Advisor Group, LLC
Feb 7, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

Rebecca Mason from Goldman Sachs Wealth Services, L.P.
Aug 24, 2026 · Affiliated broker-dealer or bank to independent RIA
Jeremy Marc Scher from Goldman Sachs Wealth Services, L.P.
Nov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
Ann Marie Arceo from Rooted Planning Group
Dec 8, 2023 · RIA to RIA
Leah Nelson from Smedley Financial Services Inc
Aug 15, 2023 · RIA to RIA
Carmen David Caruso from Taconic Advisors
Jul 11, 2023 · RIA to RIA
Hermes William Del-Sette from Next Financial Group, Inc.
Feb 2, 2012 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

William Hermes III Del-Sette · Managing Member/Chief Compliance Officercontrol
since 11/2011 · 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
Schenectady, Ny · principal	5	3	1
American Fork, Ut	0	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Business name · DEL-SETTE CAPITAL MANAGEMENT, LLC to HAPPINESS IN RETIREMENT
May 14, 2026 to Sep 3, 2026
Financial planning clients · 101-250 to 101-250
May 14, 2026 to Sep 3, 2026
Related adviser · false to unset
May 14, 2026 to Sep 3, 2026
Related bank · false to unset
May 14, 2026 to Sep 3, 2026
Related broker-dealer · false to unset
May 14, 2026 to Sep 3, 2026
Related insurance company · false to unset
May 14, 2026 to Sep 3, 2026
Succession · false to unset
May 14, 2026 to Sep 3, 2026
Accounts · 680 to 735
Dec 23, 2025 to Jan 27, 2026
Advisory employees · 4 to 5
Dec 23, 2025 to Jan 27, 2026
HNW clients · 46 to 56
Dec 23, 2025 to Jan 27, 2026
Individual clients · 194 to 184
Dec 23, 2025 to Jan 27, 2026
Assets in custody · $3.9M to $78.5M
Dec 23, 2025 to Jan 27, 2026
Custody of client assets · false to true
Dec 23, 2025 to Jan 27, 2026
Employees · 7 to 8
Dec 23, 2025 to Jan 27, 2026
HQ city · to SCHENECTADY
Dec 23, 2025 to Jan 27, 2026
HQ state · to NY
Dec 23, 2025 to Jan 27, 2026
State-registered IARs · 4 to 5
Dec 23, 2025 to Jan 27, 2026
Discretionary RAUM · $146M to $193M
Dec 23, 2025 to Jan 27, 2026
HNW RAUM · $95.0M to $137M
Dec 23, 2025 to Jan 27, 2026
Individual RAUM · $50.8M to $55.7M
Dec 23, 2025 to Jan 27, 2026
RAUM · $146M to $193M
Dec 23, 2025 to Jan 27, 2026
Other offices · 2 to 3
Apr 3, 2025 to Nov 4, 2025
Advisory employees · 5 to 4
Feb 27, 2025 to Apr 3, 2025
Employees · 8 to 7
Feb 27, 2025 to Apr 3, 2025
Financial planning clients · 101-250 to 101-250
Feb 27, 2025 to Apr 3, 2025
State-registered IARs · 5 to 4
Feb 27, 2025 to Apr 3, 2025
Accounts · 749 to 680
Sep 5, 2024 to Feb 27, 2025
HNW clients · 43 to 46
Sep 5, 2024 to Feb 27, 2025
Individual clients · 178 to 194
Sep 5, 2024 to Feb 27, 2025
Assets in custody · unset to 3915526.0
Sep 5, 2024 to Feb 27, 2025
Employees · 9 to 8
Sep 5, 2024 to Feb 27, 2025
HQ city · unset to
Sep 5, 2024 to Feb 27, 2025
HQ state · unset to
Sep 5, 2024 to Feb 27, 2025
Discretionary RAUM · $152M to $146M
Sep 5, 2024 to Feb 27, 2025
HNW RAUM · $87.4M to $95.0M
Sep 5, 2024 to Feb 27, 2025
Individual RAUM · $64.4M to $50.8M
Sep 5, 2024 to Feb 27, 2025
RAUM · $152M to $146M
Sep 5, 2024 to Feb 27, 2025
Accounts · 692 to 749
Dec 7, 2023 to Mar 6, 2024
Advisory employees · 2 to 5
Dec 7, 2023 to Mar 6, 2024
HNW clients · 39 to 43
Dec 7, 2023 to Mar 6, 2024

Signals

5 dated events

Carmen David Caruso left Del-Sette Capital Management, Llc for Osaic Wealth, Inc. (registered 2026-05-07)
Sep 30, 2025 · Advisor changed firm · fact
Leah Nelson left Del-Sette Capital Management, Llc for The Table Financial Planning Llc (registered 2026-02-26)
Mar 25, 2025 · Advisor changed firm · fact
Carmen David Caruso left Del-Sette Capital Management, Llc for Taconic Advisors (registered 2022-11-15)
Jul 14, 2022 · Advisor changed firm · fact
Brenton Wesley Smith left Del-Sette Capital Management, Llc for Private Advisor Group, Llc (registered 2022-03-18)
Feb 7, 2022 · Advisor changed firm · fact
Del-Sette Capital Management, Llc filed its initial SEC registration (Form ADV)
May 27, 2014 · 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: 518-793-3851reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/del-sette-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
Website: del-sette.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 518-793-3851reportedpublic record, Form ADV, Sep 3, 2026
Team page: del-sette.com/meet-the-teamreportedpublished 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: $38.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026