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
A•••••• R••••••• C•••••••••
Latest filing Jan 21, 2026
First filing on the tape Jan 17, 2018 · 21 filings
SEC status approved since Feb 22, 2018
RAUM
$89.5M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$83.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$44.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$89.5M as of Jan 21, 2026
Jan 15, 2019$38.5M then
HNW client RAUM$77.1M as of Jan 21, 2026
Jan 15, 2019$31.0M then
State-registered IARs (5.B.3)3 as of Jan 21, 2026
Jan 15, 20191 then
Employees (5.A)3 as of Jan 21, 2026
Jan 15, 20191 then
Private funds: no history
RAUM +41% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $44.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $688,349derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$77.1M86%
- Individuals$6.5M7.3%
- Pension and profit-sharing plans$5.4M6.0%
- Corporations and businesses$466,2470.5%
- Charitable organizations$32,1930.0%
- Individual clients
- 33reported
- HNW clients
- 42reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 130reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• L•••• G•••• | Fayetteville, Ny | May 14, 2015 | 21 y | 3 |
| W•••••• J•• P••••••• | Fayetteville, Ny | Jan 21, 2021 | 32 y | 1 |
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
- W•••••• J•• P••••••• from B• R•••• W••••• A•••••••• I•••Jan 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••••• L•••• G•••• from R••••••• C••••• A••••••• S•••••••May 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• A•••••• L•••• · Cco/Presidentcontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
- A••••• L•••• G••••broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fayetteville, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Jan 21, 2026RAUM (Item 5.F) moved from $63,345,303 to $89,485,313 (+41.0%) between the annual amendments of 2025-01-21 and 2026-01-21; the peer median change was +8.0% (219 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 110 to 130Dec 15, 2025 to Jan 21, 2026
- Charity clients · 1 to 2Dec 15, 2025 to Jan 21, 2026
- Corporate clients · 0 to 1Dec 15, 2025 to Jan 21, 2026
- HNW clients · 38 to 42Dec 15, 2025 to Jan 21, 2026
- Individual clients · 29 to 33Dec 15, 2025 to Jan 21, 2026
- Discretionary RAUM · $58.8M to $84.1MDec 15, 2025 to Jan 21, 2026
- HNW RAUM · $51.6M to $77.1MDec 15, 2025 to Jan 21, 2026
- Individual RAUM · $7.0M to $6.5MDec 15, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $4.6M to $5.4MDec 15, 2025 to Jan 21, 2026
- Pension RAUM · $4.6M to $5.4MDec 15, 2025 to Jan 21, 2026
- RAUM · $63.3M to $89.5MDec 15, 2025 to Jan 21, 2026
- Related broker-dealer · true to falseJan 21, 2025 to Dec 15, 2025
- Accounts · 106 to 110Feb 13, 2024 to Jan 21, 2025
- HNW clients · 35 to 38Feb 13, 2024 to Jan 21, 2025
- Individual clients · 27 to 29Feb 13, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 51-100Feb 13, 2024 to Jan 21, 2025
- HQ city · unset to Feb 13, 2024 to Jan 21, 2025
- HQ state · unset to Feb 13, 2024 to Jan 21, 2025
- Discretionary RAUM · $48.9M to $58.8MFeb 13, 2024 to Jan 21, 2025
- HNW RAUM · $42.1M to $51.6MFeb 13, 2024 to Jan 21, 2025
- Individual RAUM · $4.1M to $7.0MFeb 13, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $4.7M to $4.6MFeb 13, 2024 to Jan 21, 2025
- Pension RAUM · $4.7M to $4.6MFeb 13, 2024 to Jan 21, 2025
- RAUM · $53.5M to $63.3MFeb 13, 2024 to Jan 21, 2025
- Accounts · 118 to 106Jan 31, 2023 to Feb 13, 2024
- HNW clients · 30 to 35Jan 31, 2023 to Feb 13, 2024
- Individual clients · 31 to 27Jan 31, 2023 to Feb 13, 2024
- Discretionary RAUM · $43.5M to $48.9MJan 31, 2023 to Feb 13, 2024
- HNW RAUM · $36.5M to $42.1MJan 31, 2023 to Feb 13, 2024
- Individual RAUM · $3.8M to $4.1MJan 31, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $3.8M to $4.7MJan 31, 2023 to Feb 13, 2024
- Pension RAUM · $3.8M to $4.7MJan 31, 2023 to Feb 13, 2024
- RAUM · $47.3M to $53.5MJan 31, 2023 to Feb 13, 2024
- Accounts · 119 to 118May 24, 2022 to Jan 31, 2023
- HNW clients · 29 to 30May 24, 2022 to Jan 31, 2023
- Discretionary RAUM · $52.0M to $43.5MMay 24, 2022 to Jan 31, 2023
- HNW RAUM · $44.0M to $36.5MMay 24, 2022 to Jan 31, 2023
- Individual RAUM · $4.4M to $3.8MMay 24, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $4.1M to $3.8MMay 24, 2022 to Jan 31, 2023
- Pension RAUM · $4.1M to $3.8MMay 24, 2022 to Jan 31, 2023
Signals
1 dated events
- A•••••• R••••••• C••••••••• filed its initial SEC registration (Form ADV)Jan 17, 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
- 315-382-4843reportedpublic record, Form ADV, Jan 21, 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
- $44.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026