DFX Intelligence
RIA Intelligence
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SEC-registered adviser
J• M•••••••• C•••••• M•••••••••
Legal name J• M•••••••• C•••••• S••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape May 24, 2018 · 12 filings
SEC status approved since Jun 27, 2018
RAUM
$60.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$60.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$60.9M
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
12 filings and snapshots on the tape
RAUM$60.9M as of Feb 9, 2026
Mar 13, 2019$26.5M then
HNW client RAUM$31.3M as of Feb 9, 2026
Mar 13, 2019$10.2M then
State-registered IARs (5.B.3)1 as of Feb 9, 2026
Mar 13, 20192 then
Employees (5.A)1 as of Feb 9, 2026
Mar 13, 20192 then
Private funds: no history
RAUM +11% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $978,255derivedHNW RAUM over HNW clients
- Average account
- $422,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $22.9M, 51 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$31.3M51%
- Individuals$29.2M48%
- Pension and profit-sharing plans$314,5000.5%
- Individual clients
- 111reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 144reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.9M for 51 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• M•••••••• | Queensbury, Ny | Apr 16, 2021 | 36 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
- M••••••••• J••••••• · Managing Member - Ccocontrolsince 11/2012 · owns 75% or more
Related persons
Schedule D 7.A
- J••••••• M••••••••insurancen
- J••••••• M••••••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 149 to 144Jan 29, 2025 to Feb 9, 2026
- Individual clients · 113 to 111Jan 29, 2025 to Feb 9, 2026
- Assets in custody · $21.0M to $22.9MJan 29, 2025 to Feb 9, 2026
- Discretionary RAUM · $54.6M to $60.9MJan 29, 2025 to Feb 9, 2026
- HNW RAUM · $33.9M to $31.3MJan 29, 2025 to Feb 9, 2026
- Individual RAUM · $19.4M to $29.2MJan 29, 2025 to Feb 9, 2026
- Pension RAUM · $1.1M to $314,500Jan 29, 2025 to Feb 9, 2026
- RAUM · $54.6M to $60.9MJan 29, 2025 to Feb 9, 2026
- Accounts · 104 to 149Feb 22, 2024 to Jan 29, 2025
- HNW clients · 28 to 32Feb 22, 2024 to Jan 29, 2025
- Individual clients · 107 to 113Feb 22, 2024 to Jan 29, 2025
- Assets in custody · $16.7M to $21.0MFeb 22, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0Feb 22, 2024 to Jan 29, 2025
- HQ city · unset to Feb 22, 2024 to Jan 29, 2025
- HQ state · unset to Feb 22, 2024 to Jan 29, 2025
- Discretionary RAUM · $44.5M to $54.6MFeb 22, 2024 to Jan 29, 2025
- HNW RAUM · $25.1M to $33.9MFeb 22, 2024 to Jan 29, 2025
- Individual RAUM · $19.0M to $19.4MFeb 22, 2024 to Jan 29, 2025
- Pension RAUM · $426,794 to $1.1MFeb 22, 2024 to Jan 29, 2025
- RAUM · $44.5M to $54.6MFeb 22, 2024 to Jan 29, 2025
- Accounts · 134 to 104Feb 23, 2023 to Feb 22, 2024
- HNW clients · 26 to 28Feb 23, 2023 to Feb 22, 2024
- Individual clients · 106 to 107Feb 23, 2023 to Feb 22, 2024
- Assets in custody · $11.8M to $16.7MFeb 23, 2023 to Feb 22, 2024
- Discretionary RAUM · $37.5M to $44.5MFeb 23, 2023 to Feb 22, 2024
- HNW RAUM · $20.3M to $25.1MFeb 23, 2023 to Feb 22, 2024
- Individual RAUM · $16.9M to $19.0MFeb 23, 2023 to Feb 22, 2024
- Pension RAUM · $325,846 to $426,794Feb 23, 2023 to Feb 22, 2024
- RAUM · $37.5M to $44.5MFeb 23, 2023 to Feb 22, 2024
- Accounts · 227 to 134Mar 8, 2022 to Feb 23, 2023
- HNW clients · 28 to 26Mar 8, 2022 to Feb 23, 2023
- Individual clients · 103 to 106Mar 8, 2022 to Feb 23, 2023
- Assets in custody · $12.7M to $11.8MMar 8, 2022 to Feb 23, 2023
- Discretionary RAUM · $42.7M to $37.5MMar 8, 2022 to Feb 23, 2023
- HNW RAUM · $23.0M to $20.3MMar 8, 2022 to Feb 23, 2023
- Individual RAUM · $19.1M to $16.9MMar 8, 2022 to Feb 23, 2023
- Pension RAUM · $575,327 to $325,846Mar 8, 2022 to Feb 23, 2023
- RAUM · $42.7M to $37.5MMar 8, 2022 to Feb 23, 2023
- Accounts · 191 to 227Mar 22, 2021 to Mar 8, 2022
- Advisory employees · 2 to 1Mar 22, 2021 to Mar 8, 2022
Signals
1 dated events
- J• M•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)May 24, 2018 · 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
- Principal office phone
- 518-792-4519reportedpublic record, Form ADV, Feb 9, 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
- $60.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026