DFX Intelligence
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M••••••••• B•••••• L••
Independent wealth manager, based in Ithaca, New York, reporting $124M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $124M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +10%
- Private clients
- 95% of RAUM, $118M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 6
Every filed figure, and the identifiersCRD 159862 · SEC 801-72949 · 30 filingsShowHide
CRD 159862SEC 801-72949First filing on the tape Dec 5, 2011, latest Mar 20, 2026SEC status approved since Dec 13, 2011IAPD
RAUM
$124M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$124M as of Mar 20, 2026
Mar 22, 2012$26.5M then
HNW client RAUM$91.5M as of Mar 20, 2026
Mar 26, 2018$43.7M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 21, 20131 then
Employees (5.A)4 as of Mar 20, 2026
Mar 21, 20132 then
Private funds: no history
RAUM +10% over the last fiscal year+10.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $260,899derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $13.3M, 21 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.5M74%
- Individuals$26.9M22%
- Pension and profit-sharing plans$4.4M3.6%
- Charitable organizations$1.3M1.0%
- Corporations and businesses$175,0490.1%
- Individual clients
- 160reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 476reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.3M for 21 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| D••••• G••••• M••••••••• | Ithaca, Ny | Feb 11, 2019 | 27 y | 2 |
| C•••••• W•••••• B••••• | Ithaca, Ny | Sep 22, 2021 | 21 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••• W•••••• · Chief Compliance Officercontrolsince 11/2013 · owns 25% to 50%
- M••••••••• D•••••• G••••• · Managing Member / Presidentcontrolsince 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 |
|---|---|---|---|---|---|
| Ithaca, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 479 to 476Mar 26, 2025 to Mar 20, 2026
- HNW clients · 43 to 40Mar 26, 2025 to Mar 20, 2026
- Individual clients · 159 to 160Mar 26, 2025 to Mar 20, 2026
- Assets in custody · $5.2M to $13.3MMar 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $105M to $123MMar 26, 2025 to Mar 20, 2026
- HNW RAUM · $86.8M to $91.5MMar 26, 2025 to Mar 20, 2026
- Individual RAUM · $21.2M to $26.9MMar 26, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $7.5M to $1.0MMar 26, 2025 to Mar 20, 2026
- Pension RAUM · $3.8M to $4.4MMar 26, 2025 to Mar 20, 2026
- RAUM · $113M to $124MMar 26, 2025 to Mar 20, 2026
- Accounts · 521 to 479Mar 28, 2024 to Mar 26, 2025
- HNW clients · 40 to 43Mar 28, 2024 to Mar 26, 2025
- Individual clients · 165 to 159Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $5.0M to $5.2MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $95.9M to $105MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $77.6M to $86.8MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $20.7M to $21.2MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $6.7M to $7.5MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $3.4M to $3.8MMar 28, 2024 to Mar 26, 2025
- RAUM · $103M to $113MMar 28, 2024 to Mar 26, 2025
- Accounts · 457 to 521Apr 5, 2023 to Mar 28, 2024
- HNW clients · 41 to 40Apr 5, 2023 to Mar 28, 2024
- Individual clients · 155 to 165Apr 5, 2023 to Mar 28, 2024
- Assets in custody · $4.1M to $5.0MApr 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $87.0M to $95.9MApr 5, 2023 to Mar 28, 2024
- HNW RAUM · $71.7M to $77.6MApr 5, 2023 to Mar 28, 2024
- Individual RAUM · $17.8M to $20.7MApr 5, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.3M to $6.7MApr 5, 2023 to Mar 28, 2024
- Pension RAUM · $2.8M to $3.4MApr 5, 2023 to Mar 28, 2024
- RAUM · $93.4M to $103MApr 5, 2023 to Mar 28, 2024
- Accounts · 422 to 457Apr 5, 2022 to Mar 31, 2023
- Charity clients · 1.0 to unsetApr 5, 2022 to Mar 31, 2023
- Individual clients · 148 to 155Apr 5, 2022 to Mar 31, 2023
- Pension plan clients · 3.0 to unsetApr 5, 2022 to Mar 31, 2023
- Assets in custody · $3.5M to $4.1MApr 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $98.5M to $87.0MApr 5, 2022 to Mar 31, 2023
- HNW RAUM · $79.7M to $71.7MApr 5, 2022 to Mar 31, 2023
- Individual RAUM · $21.0M to $17.8MApr 5, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $6.6M to $6.3MApr 5, 2022 to Mar 31, 2023
Signals
No event on the tape.
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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 20, 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
- $62.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026