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.

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SEC-registered adviser

D••• H•••• W••••• L••

Independent wealth managerCazenovia, New YorkCRD 159999SEC 801-132392websiteIAPD
Latest filing Mar 27, 2026
First filing on the tape Mar 12, 2025 · 3 filings
SEC status approved since Apr 10, 2025
RAUM
$36.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$35.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.6M
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
3 filings and snapshots on the tape
RAUM$36.6M as of Mar 27, 2026
Mar 12, 2025$29.4M then
HNW client RAUM$13.5M as of Mar 27, 2026
Mar 12, 2025$9.7M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 12, 20251 then
Employees (5.A)1 as of Mar 27, 2026
Mar 12, 20251 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$36.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$211,726derivedRAUM 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
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.1%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
  • Individuals$22.0M60%
  • High-net-worth individuals$13.5M37%
  • Corporations and businesses$1.1M3.1%
Individual clients
84reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
173reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.97 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
J••••• W•••••• A•••Cazenovia, NyOct 26, 202119 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••• J•••••• W•••••• · Managing Member/Chief Compliance Officercontrol
      since 11/2011 · 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 · 166 to 173
      Jul 30, 2025 to Mar 27, 2026
    • HNW clients · 9 to 10
      Jul 30, 2025 to Mar 27, 2026
    • Financial planning clients · 101-250 to 51-100
      Jul 30, 2025 to Mar 27, 2026
    • Discretionary RAUM · $29.4M to $36.6M
      Jul 30, 2025 to Mar 27, 2026
    • HNW RAUM · $9.7M to $13.5M
      Jul 30, 2025 to Mar 27, 2026
    • Individual RAUM · $18.8M to $22.0M
      Jul 30, 2025 to Mar 27, 2026
    • RAUM · $29.4M to $36.6M
      Jul 30, 2025 to Mar 27, 2026
    • Financial planning clients · 101-250 to 101-250
      Mar 12, 2025 to Jul 30, 2025
    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 phone
    315-655-5856reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    315-559-2834reportedpublic record, Form ADV, Mar 27, 2026
    Team page
    darkhorsewealth.com/professionals-help-keep-your-behavioral-reportedpublished 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
    $36.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026