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••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 5, 2018 · 24 filings
SEC status approved since Jul 6, 2018
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$117M as of Mar 30, 2026
Mar 4, 2019$36.3M then
HNW client RAUM$74.7M as of Mar 30, 2026
Mar 4, 2019$20.5M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 4, 20191 then
Employees (5.A)8 as of Mar 30, 2026
Mar 4, 20195 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $266,402derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$74.7M64%
- Individuals$28.3M24%
- Pension and profit-sharing plans$7.4M6.3%
- Charitable organizations$4.9M4.2%
- Corporations and businesses$1.4M1.2%
- Individual clients
- 120reported
- HNW clients
- 52reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 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 |
|---|---|---|---|---|
| S•••• M•••••• A•••••••Certified Financial Planner | Corning, Ny | Aug 16, 2021 | 20 y | 2 |
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 headcount1 left over 36 months
Left, latest
- G•••••• P•••••• B•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Aug 28, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- G•••••• P•••••• B•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••• A••••••• from C•••••• G•••• • C• I••Aug 16, 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
- A•••••••• J••••••••• H••• · Chief Compliance Officercontrolsince 05/2023 · owns 50% to 75%
- A•••••••• S••••• M•••••• · Chief Executive Officercontrolsince 09/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Corning, Ny · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 415 to 438Sep 11, 2025 to Mar 30, 2026
- Charity clients · 5.0 to unsetSep 11, 2025 to Mar 30, 2026
- Corporate clients · 5.0 to unsetSep 11, 2025 to Mar 30, 2026
- HNW clients · 43 to 52Sep 11, 2025 to Mar 30, 2026
- Individual clients · 128 to 120Sep 11, 2025 to Mar 30, 2026
- Pension plan clients · unset to 5.0Sep 11, 2025 to Mar 30, 2026
- Employees · 6 to 8Sep 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $97.2M to $117MSep 11, 2025 to Mar 30, 2026
- HNW RAUM · $58.5M to $74.7MSep 11, 2025 to Mar 30, 2026
- Individual RAUM · $29.4M to $28.3MSep 11, 2025 to Mar 30, 2026
- Pension RAUM · $3.6M to $7.4MSep 11, 2025 to Mar 30, 2026
- RAUM · $97.2M to $117MSep 11, 2025 to Mar 30, 2026
- Accounts · 169 to 415Aug 29, 2024 to Mar 14, 2025
- Corporate clients · unset to 5.0Aug 29, 2024 to Mar 14, 2025
- HNW clients · 42 to 43Aug 29, 2024 to Mar 14, 2025
- Individual clients · 119 to 128Aug 29, 2024 to Mar 14, 2025
- Pension plan clients · 5.0 to unsetAug 29, 2024 to Mar 14, 2025
- Financial planning clients · 51-100 to 26-50Aug 29, 2024 to Mar 14, 2025
- Discretionary RAUM · $84.1M to $97.2MAug 29, 2024 to Mar 14, 2025
- HNW RAUM · $53.7M to $58.5MAug 29, 2024 to Mar 14, 2025
- Individual RAUM · $25.7M to $29.4MAug 29, 2024 to Mar 14, 2025
- Pension RAUM · $242,235 to $3.6MAug 29, 2024 to Mar 14, 2025
- RAUM · $84.1M to $97.2MAug 29, 2024 to Mar 14, 2025
- Accounts · 158 to 169May 23, 2023 to Mar 19, 2024
- Corporate clients · 5.0 to unsetMay 23, 2023 to Mar 19, 2024
- HNW clients · 38 to 42May 23, 2023 to Mar 19, 2024
- Individual clients · 106 to 119May 23, 2023 to Mar 19, 2024
- Pension plan clients · unset to 5.0May 23, 2023 to Mar 19, 2024
- Financial planning clients · 26-50 to 51-100May 23, 2023 to Mar 19, 2024
- Other offices · 0 to 1May 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $69.5M to $84.1MMay 23, 2023 to Mar 19, 2024
- HNW RAUM · $42.5M to $53.7MMay 23, 2023 to Mar 19, 2024
- Individual RAUM · $19.8M to $25.7MMay 23, 2023 to Mar 19, 2024
- Pension RAUM · $2.8M to $242,235May 23, 2023 to Mar 19, 2024
- RAUM · $69.5M to $84.1MMay 23, 2023 to Mar 19, 2024
- Wrap assets (manager) · 0.0 to unsetMay 23, 2023 to Mar 19, 2024
- Wrap assets (sponsor) · 0.0 to unsetMay 23, 2023 to Mar 19, 2024
- Accounts · 344 to 158Dec 22, 2022 to Mar 20, 2023
- Advisory employees · 1 to 2Dec 22, 2022 to Mar 20, 2023
- Corporate clients · 4 to 5Dec 22, 2022 to Mar 20, 2023
Signals
2 dated events
- G•••••• P•••••• B•••• left A••••••• C•••••• M••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-09-17)Aug 28, 2025 · Advisor changed firm · fact
- A••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 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
- Firm profile
- linkedin.com/company/alsworth-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alsworthcapital.bsky.socialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (607) 973-2665reportedpublic record, Form ADV, Mar 30, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026