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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Former SEC-registered adviser

O••••• W••••• M••••••••• I•••

Former SEC-registered adviserSyracuse, New YorkCRD 167907SEC 801-79875IAPD
Latest filing Mar 2, 2016
First filing on the tape May 30, 2014 · 11 filings
RAUM
$60.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$60.6M as of Mar 2, 2016
Mar 16, 2015$46.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2016
Mar 16, 20150 then
Employees (5.A)19 as of Mar 2, 2016
Mar 16, 201528 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$252,390derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived7 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
240reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• T••••• J••••• · President, Directorcontrol
      since 01/2016 · owns less than 5%
    • D•••••• D••••• F•••••• · Cfocontrol
      since 02/2013 · owns less than 5%
    • J•••••• C•••••• M•••••• · Director, Coo (02/2013), Cco (06/2015) & Gspcontrol
      since 06/2006 · owns less than 5%
    • Z•••••••• B•••• M•••••• · Directorcontrol
      since 01/2014 · owns less than 5%
    • C••••••••• J••• F•••••• · Director
      since 06/2006 · owns less than 5%
    • H••••••• J••• E••••• · Director
      since 06/2006 · owns less than 5%
    • K•••••• M•••••• R••••• · Chairman
      since 06/2006 · owns less than 5%
    • M••••••••• P••••• J••••• · Director
      since 06/2006 · owns less than 5%
    • M••••• R•••••• B•••• · Director
      since 06/2006 · owns less than 5%
    • S•••••••• E••• E••••• · Vice Chairman
      since 06/2006 · owns less than 5%
    Entity owners
    • C•••••••• B•••• N••• · National Bank
      direct · owns 75% or more · public reporting company
    • C•••••••• B••• S•••••• I••• · Shareholder
      indirect · owns 75% or more of Community Bank, N.A. · public reporting company
    Related persons
    Schedule D 7.A
    • B•••••• P•••• A••••••••• S•••••••• I•••
      LP sponsorn
    • C•••••••• B•••• N•••
      y
    • H••• B••••••• • T•••• C••••••
      custodiann
    • Nottingham Advisors Inc.
      investment advisernRAUM $1.4B
    • O•• G•••• N•• I•••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    • Cazenovia, NY
    • Chittenango, NY
    • Oneida, NY
    • Oneida, NY
    • Rome, NY
    • Rome, NY
    What changed
    consecutive filings, newest first
    • Accounts · 200 to 240
      Jan 5, 2016 to Feb 4, 2016
    • BD registered reps · 18 to 19
      Jan 5, 2016 to Feb 4, 2016
    • Custody of client assets · true to false
      Jan 5, 2016 to Feb 4, 2016
    • Employees · 28 to 19
      Jan 5, 2016 to Feb 4, 2016
    • Discretionary RAUM · $46.9M to $60.6M
      Jan 5, 2016 to Feb 4, 2016
    • RAUM · $46.9M to $60.6M
      Jan 5, 2016 to Feb 4, 2016
    • Related adviser · false to true
      Jun 11, 2015 to Dec 15, 2015
    • HQ city · NORTH SYRACUSE to SYRACUSE
      Mar 16, 2015 to Apr 27, 2015
    • Accounts · 164 to 200
      Oct 22, 2014 to Mar 16, 2015
    • Advisory employees · 19 to 12
      Oct 22, 2014 to Mar 16, 2015
    • BD registered reps · 20 to 18
      Oct 22, 2014 to Mar 16, 2015
    • Employees · 24 to 28
      Oct 22, 2014 to Mar 16, 2015
    • Insurance-licensed employees · 2 to 0
      Oct 22, 2014 to Mar 16, 2015
    • Discretionary RAUM · $40.6M to $46.9M
      Oct 22, 2014 to Mar 16, 2015
    • RAUM · $40.6M to $46.9M
      Oct 22, 2014 to Mar 16, 2015
    • Accounts · unset to 164.0
      Aug 1, 2014 to Oct 22, 2014
    • Discretionary RAUM · unset to 40575620.0
      Aug 1, 2014 to Oct 22, 2014
    • Non-discretionary RAUM · unset to 0.0
      Aug 1, 2014 to Oct 22, 2014
    • RAUM · unset to 40575620.0
      Aug 1, 2014 to Oct 22, 2014
    • Business name · ONEIDA WEALTH MANAGEMENT INC. to ONEIDA WEALTH MANAGEMENT, INC.
      May 30, 2014 to Aug 1, 2014
    • Legal name · ONEIDA WEALTH MANAGEMENT INC. to ONEIDA WEALTH MANAGEMENT, INC.
      May 30, 2014 to Aug 1, 2014
    Signals
    1 dated events
    • Oneida Wealth Management Inc. filed its initial SEC registration (Form ADV)
      May 30, 2014 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026