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
R••••• C•••••••• A•••• M••••••••• I••
Latest filing Jun 23, 2026
First filing on the tape Apr 23, 2012 · 60 filings
SEC status approved since Aug 26, 2013
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$902M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$232M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$1.2B as of Jun 23, 2026
Mar 5, 2014$190M then
HNW client RAUM$702M as of Jun 23, 2026
Feb 2, 2018$189M then
State-registered IARs (5.B.3)5 as of Jun 23, 2026
Mar 5, 20142 then
Employees (5.A)9 as of Jun 23, 2026
Mar 5, 20143 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jun 23, 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
- RAUM per advisor
- $232MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 153derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $552,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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$702M60%
- Pension and profit-sharing plans$259M22%
- Individuals$200M17%
- Individual clients
- 479reported
- HNW clients
- 285reported
- Pension plan clients
- 16reported
- Charitable clients
- 0reported
- Accounts
- 2,100reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H••••Certified Financial Planner | Syracuse, Ny | Mar 24, 2016 | 23 y | 0 |
| C••••••••• P• R••••Certified Financial Planner | Syracuse, Ny | Oct 3, 2018 | 13 y | 1 |
| D••••• J••••• E•••••Certified Financial Planner | Syracuse, Ny | Jul 19, 2019 | 11 y | 2 |
| R•••••• P••• R•••••Certified Financial Planner | Syracuse, Ny | Mar 4, 2021 | 32 y | 0 |
| E•••• R••••• C•••• | Syracuse, Ny | Jun 16, 2026 | 11 y | 1 |
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
- N••••••• B••••• to A•••••• A••••••• S•••••••Feb 21, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- E•••• R••••• C•••• from E•••••••• A•••••••• L••Jun 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- D••••• J••••• E••••• from S••••••••• A•••••• A•••••••• I•••Jul 19, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• P• R•••• from G•••••• S•••• W••••• S•••••••• L•••Oct 3, 2018 · Other
- N••••••• B••••• from S•••••••• A••••••• L••Jan 11, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• R••••••• P••• · Presidentcontrolsince 01/2014 · owns 75% or more
- B•••••• L•••• M•••• · Chief Compliance Officersince 01/2015 · owns less than 5%
- C•••••••• M•••••••• L• · Chief Compliance Officersince 08/2025 · owns less than 5%
- H••••• D•••• · Chief Operating Officersince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5May 25, 2026 to Jun 23, 2026
- Employees · 8 to 9May 25, 2026 to Jun 23, 2026
- State-registered IARs · 4 to 5May 25, 2026 to Jun 23, 2026
- HQ city · MARCELLUS to SYRACUSEMar 13, 2026 to May 25, 2026
- Accounts · 1,890 to 2,100Nov 17, 2025 to Mar 13, 2026
- HNW clients · 242 to 285Nov 17, 2025 to Mar 13, 2026
- Pension plan clients · 17 to 16Nov 17, 2025 to Mar 13, 2026
- Discretionary RAUM · $992M to $1.2BNov 17, 2025 to Mar 13, 2026
- HNW RAUM · $576M to $702MNov 17, 2025 to Mar 13, 2026
- Individual RAUM · $188M to $200MNov 17, 2025 to Mar 13, 2026
- Pension RAUM · $229M to $259MNov 17, 2025 to Mar 13, 2026
- RAUM · $992M to $1.2BNov 17, 2025 to Mar 13, 2026
- Employees · 7 to 8May 1, 2025 to Jul 18, 2025
- Financial planning clients · 251-500 to 251-500May 1, 2025 to Jul 18, 2025
- Advisory activities · 4 to 5Feb 18, 2025 to May 1, 2025
- Accounts · 691 to 1,890Mar 28, 2024 to Feb 18, 2025
- HNW clients · 203 to 242Mar 28, 2024 to Feb 18, 2025
- Individual clients · 472 to 479Mar 28, 2024 to Feb 18, 2025
- Pension plan clients · 16 to 17Mar 28, 2024 to Feb 18, 2025
- Financial planning clients · More than 500 to 251-500Mar 28, 2024 to Feb 18, 2025
- Discretionary RAUM · $818M to $992MMar 28, 2024 to Feb 18, 2025
- HNW RAUM · $446M to $576MMar 28, 2024 to Feb 18, 2025
- Individual RAUM · $180M to $188MMar 28, 2024 to Feb 18, 2025
- Pension RAUM · $192M to $229MMar 28, 2024 to Feb 18, 2025
- RAUM · $818M to $992MMar 28, 2024 to Feb 18, 2025
- Accounts · 671 to 691Sep 7, 2023 to Mar 22, 2024
- HNW clients · 195 to 203Sep 7, 2023 to Mar 22, 2024
- Individual clients · 460 to 472Sep 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $795M to $818MSep 7, 2023 to Mar 22, 2024
- HNW RAUM · $423M to $446MSep 7, 2023 to Mar 22, 2024
- Individual RAUM · $177M to $180MSep 7, 2023 to Mar 22, 2024
- Pension RAUM · $196M to $192MSep 7, 2023 to Mar 22, 2024
- RAUM · $795M to $818MSep 7, 2023 to Mar 22, 2024
- Accounts · 1,658 to 671Jul 20, 2023 to Sep 7, 2023
- HNW clients · 174 to 195Jul 20, 2023 to Sep 7, 2023
- Individual clients · 473 to 460Jul 20, 2023 to Sep 7, 2023
- Pension plan clients · 17 to 16Jul 20, 2023 to Sep 7, 2023
- Discretionary RAUM · $728M to $795MJul 20, 2023 to Sep 7, 2023
- HNW RAUM · $368M to $423MJul 20, 2023 to Sep 7, 2023
- Individual RAUM · $176M to $177MJul 20, 2023 to Sep 7, 2023
Signals
3 dated events
- R••••• C•••••••• A•••• M••••••••• I•• reported RAUM $557.5M, up 28% from $435.6M (2019-07-22 to 2020-02-05)Feb 5, 2020 · RAUM change · derived
- R••••• C•••••••• A•••• M••••••••• I•• reported RAUM $441.6M, up 29% from $341.5M (2017-08-16 to 2018-02-02)Feb 2, 2018 · RAUM change · derived
- R••••• C•••••••• A•••• M••••••••• I•• filed its initial SEC registration (Form ADV)Aug 12, 2013 · 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
- 315-673-1121reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 315-673-2094reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- R•••••INVESTING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-673-2094reportedpublic record, Form ADV, Jun 23, 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
- $232Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026