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
P••••••• W••••• M••••••••• L••
Latest filing May 26, 2026
First filing on the tape Apr 5, 2012 · 50 filings
SEC status approved since Apr 24, 2012
RAUM
$568M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$548M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$94.6M
derived; firm RAUM over IAPD count
Employees
14
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$568M as of May 26, 2026
Mar 28, 2013$94.5M then
HNW client RAUM$132M as of May 26, 2026
Mar 6, 2019$30.4M then
State-registered IARs (5.B.3)4 as of May 26, 2026
Mar 28, 20134 then
Employees (5.A)14 as of May 26, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +21% over the last fiscal year+24% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $94.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $548,844derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $16.4M, 41 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$416M73%
- High-net-worth individuals$132M23%
- Corporations and businesses$14.2M2.5%
- Other investment advisers$3.4M0.6%
- Charitable organizations$1.6M0.3%
- Individual clients
- 974reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,034reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.4M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• S•••••• T••••• | Rochester, Ny | Jul 11, 2019 | 22 y | 0 |
| A•••••• R• V••••••Certified Financial Planner | Rochester, Ny | Apr 30, 2021 | 13 y | 1 |
| W•••••• J•••• P•••••••Certified Financial Planner | Rochester, Ny | Apr 30, 2021 | 27 y | 2 |
| M••••••• D••••• W•••• | Rochester, Ny | Mar 10, 2023 | 12 y | 1 |
| U••••••• M•••••• | Rochester, Ny | Jul 17, 2024 | 20 y | 0 |
| A••••• L•••••• S••••••Certified Financial Planner | Rochester, Ny | Mar 26, 2026 | 10 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- A••••• L•••••• S•••••• from S•••• R•••• • C••• I•••Mar 26, 2026 · RIA to RIA
- M••••••• D••••• W•••• from C•••••• G•••• • C• I••Mar 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- A•••••• R• V•••••• from C•••••• G•••• • C• I••Apr 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- W•••••• J•••• P••••••• from C•••••• G•••• • C• I••Apr 30, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• G•••• • C• I••Jul 10, 2025 · Baldwinsville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• W••••••• J•••• · Chief Compliance Officer/Managing Membercontrolsince 01/2012 · owns 75% or more
- T•••••• S••••• S•••••• · Chief Investment Officer/ Part Ownercontrolsince 01/2018 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Baldwinsville, NY3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 23, 2026accounts (Item 5.F.2.f) moved from 1,853.0 to 1,034.0 (-44.0%) between the annual amendments of 2025-02-04 and 2026-02-23; the peer median change was +6.0% (1256 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 2.1% percentile
What changed
consecutive filings, newest first
- Accounts · 1,853 to 1,034Jul 10, 2025 to Feb 23, 2026
- Advisory employees · 5 to 4Jul 10, 2025 to Feb 23, 2026
- Corporate clients · unset to 5.0Jul 10, 2025 to Feb 23, 2026
- HNW clients · 40 to 50Jul 10, 2025 to Feb 23, 2026
- Individual clients · 872 to 974Jul 10, 2025 to Feb 23, 2026
- Assets in custody · $12.4M to $16.4MJul 10, 2025 to Feb 23, 2026
- Insurance-licensed employees · 2 to 3Jul 10, 2025 to Feb 23, 2026
- State-registered IARs · 5 to 4Jul 10, 2025 to Feb 23, 2026
- Discretionary RAUM · $450M to $550MJul 10, 2025 to Feb 23, 2026
- HNW RAUM · $99.6M to $132MJul 10, 2025 to Feb 23, 2026
- Individual RAUM · $346M to $416MJul 10, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $16.7M to $17.2MJul 10, 2025 to Feb 23, 2026
- RAUM · $467M to $568MJul 10, 2025 to Feb 23, 2026
- Financial planning clients · More than 500 to More than 500May 12, 2025 to Jul 10, 2025
- Accounts · 1,565 to 1,853Mar 19, 2024 to Feb 4, 2025
- Advisory employees · 4 to 5Mar 19, 2024 to Feb 4, 2025
- HNW clients · 42 to 40Mar 19, 2024 to Feb 4, 2025
- Individual clients · 757 to 872Mar 19, 2024 to Feb 4, 2025
- Assets in custody · $5.9M to $12.4MMar 19, 2024 to Feb 4, 2025
- Employees · 11 to 14Mar 19, 2024 to Feb 4, 2025
- State-registered IARs · 4 to 5Mar 19, 2024 to Feb 4, 2025
- Discretionary RAUM · $378M to $450MMar 19, 2024 to Feb 4, 2025
- HNW RAUM · $100M to $99.6MMar 19, 2024 to Feb 4, 2025
- Individual RAUM · $259M to $346MMar 19, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $15.1M to $16.7MMar 19, 2024 to Feb 4, 2025
- RAUM · $393M to $467MMar 19, 2024 to Feb 4, 2025
- Assets in custody · $16 to $5.9MJan 29, 2024 to Mar 19, 2024
- Accounts · 1,314 to 1,565Sep 20, 2023 to Jan 29, 2024
- Advisory employees · 5 to 4Sep 20, 2023 to Jan 29, 2024
- Advisory activities · 3 to 5Sep 20, 2023 to Jan 29, 2024
- BD registered reps · 4 to 3Sep 20, 2023 to Jan 29, 2024
- HNW clients · 27 to 42Sep 20, 2023 to Jan 29, 2024
- Individual clients · 650 to 757Sep 20, 2023 to Jan 29, 2024
- Assets in custody · $4.0M to $16Sep 20, 2023 to Jan 29, 2024
- Employees · 12 to 11Sep 20, 2023 to Jan 29, 2024
- State-registered IARs · 5 to 4Sep 20, 2023 to Jan 29, 2024
- Other offices · 1 to 2Sep 20, 2023 to Jan 29, 2024
- Discretionary RAUM · $282M to $378MSep 20, 2023 to Jan 29, 2024
- HNW RAUM · $52.3M to $100MSep 20, 2023 to Jan 29, 2024
- Individual RAUM · $213M to $259MSep 20, 2023 to Jan 29, 2024
Signals
2 dated events
- 2 advisors left C•••••• G•••• • C• I•• (Baldwinsville, NY) for P••••••• W••••• M••••••••• L•• on the same dayJul 10, 2025 · Team lift-out · derived
- P••••••• W••••• M••••••••• L•• reported RAUM $358.8M, up 42% from $251.8M (2021-11-23 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
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
- admin@prenticewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-218-0001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-218-0097reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/436025/adminreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/knightbridge-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- prenticewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-218-0001reportedpublic record, Form ADV, May 26, 2026
- Contact form
- prenticewealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- prenticewealth.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $94.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026