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
T•• A••••••• G••••• L••
Latest filing Dec 14, 2023
First filing on the tape Jun 6, 2016 · 18 filings
RAUM
$156,702
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$156,702 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78,351
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$76.0M as of Feb 8, 2023
Feb 16, 2017$54.7M then
HNW client RAUM$48.5M as of Feb 8, 2023
Feb 21, 2018$37.1M then
State-registered IARs (5.B.3)6 as of Feb 8, 2023
Feb 16, 20170 then
Employees (5.A)7 as of Feb 8, 2023
Feb 16, 20171 then
Private funds: no history
RAUM -100% over the last fiscal year-87% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Dec 14, 2023; every figure names its basis
- RAUM per advisor
- $78,351derivedRAUM 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
- $22,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$156,702100%
- Individual clients
- 7reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• S••••••• | Albany, Ny | May 16, 2021 | 26 y | 1 |
| N••••••• S••••• P••••••• | Albany, Ny | May 25, 2021 | 34 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 headcount1 left over 36 months
Left, latest
- J•••• C•••••• B••••• C•••••• to L•• F•••••••• L••Feb 6, 2024 · RIA to affiliated broker-dealer or bank
- R••••• A•••• C••••••••• to D•••••• W••••• M••••••••• L••Aug 2, 2023 · RIA to RIA
Joined, latest
- J•••• C•••••• B••••• C•••••• from G•••••• S•••• W••••• S•••••••• L•••Jul 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- G••• S••••••• from M•• I•••••••• S•••••••• L••May 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
- P•••••••• N•••••••• S••••• · Chief Compliance Officer \ Membercontrolsince 07/2023 · owns 50% to 75%
- S•••••••• G••• · Membercontrolsince 07/2023 · 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 |
|---|---|---|---|---|---|
| Albany, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · A••••••• B•• A•••••••• L•• to T•• A••••••• G••••• L••Oct 18, 2023 to Dec 14, 2023
- Legal name · A••••••• B•• A•••••••• L•• to T•• A••••••• G••••• L••Oct 18, 2023 to Dec 14, 2023
- Accounts · 180 to 7Feb 8, 2023 to Oct 18, 2023
- Advisory employees · 6 to 4Feb 8, 2023 to Oct 18, 2023
- HNW clients · 12.0 to unsetFeb 8, 2023 to Oct 18, 2023
- Individual clients · 50 to 7Feb 8, 2023 to Oct 18, 2023
- Employees · 7 to 5Feb 8, 2023 to Oct 18, 2023
- Insurance-licensed employees · 1 to 0Feb 8, 2023 to Oct 18, 2023
- Financial planning clients · 51-100 to 0Feb 8, 2023 to Oct 18, 2023
- HQ city · LATHAM to ALBANYFeb 8, 2023 to Oct 18, 2023
- State-registered IARs · 6 to 4Feb 8, 2023 to Oct 18, 2023
- Discretionary RAUM · $71.2M to $156,702Feb 8, 2023 to Oct 18, 2023
- HNW RAUM · 48545031.0 to unsetFeb 8, 2023 to Oct 18, 2023
- Individual RAUM · $19.2M to $156,702Feb 8, 2023 to Oct 18, 2023
- Non-discretionary RAUM · $4.7M to $0Feb 8, 2023 to Oct 18, 2023
- Pension RAUM · 325767.0 to unsetFeb 8, 2023 to Oct 18, 2023
- RAUM · $76.0M to $156,702Feb 8, 2023 to Oct 18, 2023
- Related insurance company · true to falseFeb 8, 2023 to Oct 18, 2023
- Accounts · 190 to 180Nov 28, 2022 to Feb 8, 2023
- HNW clients · 11 to 12Nov 28, 2022 to Feb 8, 2023
- Individual clients · 54 to 50Nov 28, 2022 to Feb 8, 2023
- Employees · 6 to 7Nov 28, 2022 to Feb 8, 2023
- Financial planning clients · 1-10 to 51-100Nov 28, 2022 to Feb 8, 2023
- Discretionary RAUM · $85.6M to $71.2MNov 28, 2022 to Feb 8, 2023
- HNW RAUM · $54.3M to $48.5MNov 28, 2022 to Feb 8, 2023
- Individual RAUM · $24.7M to $19.2MNov 28, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $2.5M to $4.7MNov 28, 2022 to Feb 8, 2023
- Pension RAUM · $322,785 to $325,767Nov 28, 2022 to Feb 8, 2023
- RAUM · $88.1M to $76.0MNov 28, 2022 to Feb 8, 2023
- HQ city · ALBANY to LATHAMMar 8, 2022 to Nov 28, 2022
- Accounts · 173 to 190Jun 21, 2021 to Mar 8, 2022
- Advisory employees · 3 to 6Jun 21, 2021 to Mar 8, 2022
- Advisory activities · 4 to 5Jun 21, 2021 to Mar 8, 2022
- Business name · B•• W••••• M••••••••• L•• to A••••••• B•• A•••••••• L••Jun 21, 2021 to Mar 8, 2022
- Charity clients · 2.0 to unsetJun 21, 2021 to Mar 8, 2022
- Corporate clients · 2.0 to unsetJun 21, 2021 to Mar 8, 2022
- HNW clients · 12 to 11Jun 21, 2021 to Mar 8, 2022
- Individual clients · 58 to 54Jun 21, 2021 to Mar 8, 2022
- Pension plan clients · 4.0 to unsetJun 21, 2021 to Mar 8, 2022
- Employees · 5 to 6Jun 21, 2021 to Mar 8, 2022
Signals
7 dated events
- J•••• C•••••• B••••• C•••••• left T•• A••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-01-17)Feb 6, 2024 · Advisor changed firm · fact
- Allen Robert Canterbury (Chief Compliance Officer / Senior Wealth Advisor) no longer on Schedule A of T•• A••••••• G••••• L•• (listed 2023-02-08, absent 2023-10-18)Oct 18, 2023 · Control person left · inference
- R••••• A•••• C••••••••• left T•• A••••••• G••••• L•• for D•••••• W••••• M••••••••• L•• (registered 2023-08-04)Aug 2, 2023 · Advisor changed firm · fact
- Steven Nicholas Preddice (Member) appeared on Schedule A of T•• A••••••• G••••• L••Jun 21, 2021 · Control person joined · fact
- G••• S••••••• (Member) appeared on Schedule A of T•• A••••••• G••••• L••Jun 21, 2021 · Control person joined · fact
- R John Johnson (Partner) no longer on Schedule A of T•• A••••••• G••••• L•• (listed 2018-07-17, absent 2019-02-15)Feb 15, 2019 · Control person left · inference
- B•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2016 · 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
- Website
- A•••••••ADVS.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $78,351derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026