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
S••••••• P••••••• G••••• L••
Latest filing Jul 28, 2026
First filing on the tape Apr 6, 2015 · 99 filings
SEC status approved since Apr 16, 2015
RAUM
$568M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$557M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
28
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
99 filings and snapshots on the tape
RAUM$568M as of Jul 28, 2026
Feb 25, 2016$63.4M then
HNW client RAUM$415M as of Jul 28, 2026
Feb 7, 2018$39.5M then
State-registered IARs (5.B.3)18 as of Jul 28, 2026
Feb 25, 20165 then
Employees (5.A)28 as of Jul 28, 2026
Feb 25, 20167 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 17 to 18
Practice profile
derived from the filing of Jul 28, 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
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $280,206derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$415M73%
- Individuals$142M25%
- Charitable organizations$9.5M1.7%
- Corporations and businesses$1.5M0.3%
- Individual clients
- 566reported
- HNW clients
- 182reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 2,027reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• E• M••• | Binghamton, Ny | Jul 15, 2021 | 18 y | 2 |
| K•••••• M•••• D••••••••• | Cincinnati, Oh | Jul 26, 2021 | 14 y | 0 |
| J•••••• P••• C•••• | Binghamton, Ny | Jul 26, 2021 | 13 y | 2 |
| J•••• S•••••• | Knoxville, Tn | Jan 4, 2022 | 10 y | 1 |
| T•••• S•••••• | Binghamton, Ny | Jan 13, 2022 | 10 y | 0 |
| D••••• K••• | Syracuse, Ny | Jan 21, 2022 | 20 y | 0 |
| H••••• E•• B••••••• | Binghamton, Ny | Aug 24, 2022 | 14 y | 0 |
| B•••••• S•••• E•••• | Binghamton, Ny | Nov 29, 2022 | 35 y | 1 |
| C••••••••• G••••••••• | Saint Petersburg, Fl | Dec 13, 2023 | 13 y | 0 |
| L•••• N••••• | Binghamton, Ny | Aug 8, 2024 | 10 y | 0 |
| A•••• C•••••••• | Binghamton, Ny | Aug 17, 2024 | 12 y | 0 |
| A••• J•••• I•••••• | Syracuse, Ny | Jun 27, 2025 | 11 y | 0 |
| J•••• A••••• M••••• | Binghamton, Ny | Sep 2, 2025 | 11 y | 0 |
| Q•••••• T••••• I••••••• | Binghamton, Ny | Oct 8, 2025 | 10 y | 0 |
| N••••••• A•••••• I••••••• | Binghamton, Ny | Dec 1, 2025 | 13 y | 0 |
| J•••••• R••• B•••• | Binghamton, Ny | Jan 14, 2026 | 16 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- F•••••••• G••• C••••••••• to I••••••••• W••••• P•••••••Jan 16, 2026 · RIA to a state-registered adviser
- N••••• R••• M••••• to R••••• • K•••••••• I•••Oct 22, 2025 · RIA to RIA
- D••••• J••••• D••••••••• to C•••••• G•••• • C• I••Dec 22, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• S•••• E•••• from W••••••••• T•••• I••••••••• A•••••••• I•••Nov 29, 2022 · Other
- J•••• S•••••• from A••••••••• F•••••••• S•••••••• L••Jan 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••••• P••• C•••• from A••••• A•• P••••••• S•••••••Jul 26, 2021 · Affiliated broker-dealer or bank to independent RIA
- T••••• E• M••• from C••••• A••••••• L••Jul 15, 2021 · Other
- F•••••••• G••• C••••••••• from M••••• S••••••Jun 16, 2021 · Wirehouse to independent RIA
- D••••• J••••• D••••••••• from A••••• A•• P••••••• S•••••••Feb 28, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• W••••••• R•••••• · Chief Financial Officer And Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- M•••• T•••••• E• · Chief Executive Officercontrolsince 04/2015 · owns 25% to 50%
- N•••••• D••••• A•••••• · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- B•••••••• H•••••• E•• · Manager Of Tax P•••••••since 01/2024 · owns less than 5%
- C•••••••• S••••••• J•••• · Senior Vp Client Experiencesince 01/2018 · owns less than 5%
- C••••• J••••••• P••• · Senior Vp Financial P•••••••since 01/2024 · owns less than 5%
- C••••••••• F•••• G••• · Senior Investment Analystsince 06/2016 · owns 10% to 25%
- D••••••••• K••••••• M•••• · Director Of Suite(K)since 01/2022 · owns less than 5%
- R•••••• K••••• R•••• · Sr. College P••••••• Specialistsince 01/2024 · owns less than 5%
- S•••••• E•••••••• T••••• · Sr. Manager, Admin And Operationssince 01/2024 · owns less than 5%
- W•••••• T•••• M• · Chief Compliance Officersince 10/2024 · 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 |
|---|---|---|---|---|---|
| Binghamton, Ny · principal | 16 | 3 | 2 | ||
| Syracuse, Ny | 4 | 1 | 0 | ||
| Knoxville, Tn | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Knoxville, TN6 employees
- Syracuse, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 1,892 to 2,027Jan 7, 2026 to Feb 3, 2026
- Advisory employees · 17 to 18Jan 7, 2026 to Feb 3, 2026
- Corporate clients · 2 to 5Jan 7, 2026 to Feb 3, 2026
- HNW clients · 174 to 182Jan 7, 2026 to Feb 3, 2026
- Individual clients · 549 to 566Jan 7, 2026 to Feb 3, 2026
- Employees · 31 to 28Jan 7, 2026 to Feb 3, 2026
- State-registered IARs · 17 to 18Jan 7, 2026 to Feb 3, 2026
- Discretionary RAUM · $491M to $568MJan 7, 2026 to Feb 3, 2026
- HNW RAUM · $356M to $415MJan 7, 2026 to Feb 3, 2026
- Individual RAUM · $126M to $142MJan 7, 2026 to Feb 3, 2026
- RAUM · $491M to $568MJan 7, 2026 to Feb 3, 2026
- Financial planning clients · 251-500 to 251-500Apr 21, 2025 to Jul 2, 2025
- Accounts · 1,709 to 1,892Oct 29, 2024 to Apr 21, 2025
- Advisory employees · 14 to 17Oct 29, 2024 to Apr 21, 2025
- Charity clients · 9 to 10Oct 29, 2024 to Apr 21, 2025
- HNW clients · 154 to 174Oct 29, 2024 to Apr 21, 2025
- Individual clients · 513 to 549Oct 29, 2024 to Apr 21, 2025
- Employees · 14 to 31Oct 29, 2024 to Apr 21, 2025
- State-registered IARs · 14 to 17Oct 29, 2024 to Apr 21, 2025
- Discretionary RAUM · $423M to $491MOct 29, 2024 to Apr 21, 2025
- HNW RAUM · $302M to $356MOct 29, 2024 to Apr 21, 2025
- Individual RAUM · $114M to $126MOct 29, 2024 to Apr 21, 2025
- RAUM · $423M to $491MOct 29, 2024 to Apr 21, 2025
- Accounts · 1,436 to 1,709Jan 16, 2024 to Mar 7, 2024
- Advisory employees · 16 to 14Jan 16, 2024 to Mar 7, 2024
- Charity clients · 8 to 9Jan 16, 2024 to Mar 7, 2024
- Corporate clients · 1 to 2Jan 16, 2024 to Mar 7, 2024
- HNW clients · 137 to 154Jan 16, 2024 to Mar 7, 2024
- Individual clients · 470 to 513Jan 16, 2024 to Mar 7, 2024
- Employees · 28 to 14Jan 16, 2024 to Mar 7, 2024
- State-registered IARs · 17 to 14Jan 16, 2024 to Mar 7, 2024
- Discretionary RAUM · $351M to $423MJan 16, 2024 to Mar 7, 2024
- HNW RAUM · $246M to $302MJan 16, 2024 to Mar 7, 2024
- Individual RAUM · $101M to $114MJan 16, 2024 to Mar 7, 2024
- RAUM · $351M to $423MJan 16, 2024 to Mar 7, 2024
- Advisory employees · 15 to 16Jul 3, 2023 to Nov 30, 2023
- Employees · 27 to 28Jul 3, 2023 to Nov 30, 2023
- State-registered IARs · 16 to 17Jul 3, 2023 to Nov 30, 2023
- Other offices · 3 to 2Jul 3, 2023 to Nov 30, 2023
- Other offices · 4 to 3Jun 13, 2023 to Jun 22, 2023
Signals
6 dated events
- F•••••••• G••• C••••••••• left S••••••• P••••••• G••••• L•• for I••••••••• W••••• P••••••• (registered 2026-07-24)Jan 16, 2026 · Advisor changed firm · fact
- N••••• R••• M••••• left S••••••• P••••••• G••••• L•• for R••••• • K•••••••• I••• (registered 2026-03-02)Oct 22, 2025 · Advisor changed firm · fact
- Sean Ryan Berkeley (Senior Wealth Manager) no longer on Schedule A of S••••••• P••••••• G••••• L•• (listed 2024-06-11, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Ridgway William Hamilton (Chief Financial Officer And Chief Investment Officer) appeared on Schedule A of S••••••• P••••••• G••••• L••Mar 7, 2024 · Control person joined · fact
- D••••• J••••• D••••••••• left S••••••• P••••••• G••••• L•• for C•••••• G•••• • C• I•• (registered 2023-01-04)Dec 22, 2022 · Advisor changed firm · fact
- S••••••• P••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2015 · 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
- 607-217-5091reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/seedpgreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 401ktime.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (607) 217-5091reportedpublic record, Form ADV, Jul 28, 2026
- Contact form
- 401ktime.com/contact-usreportedpublished 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026