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.

Former SEC-registered adviser

Wealthone, LLC

Former SEC-registered adviserAlbany, New YorkCRD 284679SEC 801-108219IAPD
Latest filing Nov 22, 2023
First filing on the tape Jul 28, 2016 · 27 filings
RAUM
$382M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
92%
$353M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$382M as of Mar 1, 2023
Mar 27, 2017$204M then
HNW client RAUM$232M as of Mar 1, 2023
Mar 10, 2018$82.4M then
State-registered IARs (5.B.3)11 as of Mar 1, 2023
Mar 27, 201719 then
Employees (5.A)12 as of Mar 1, 2023
Mar 27, 201722 then
Private funds: no history
RAUM -22% over the last fiscal year+2.1% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Nov 22, 2023; every figure names its basis
RAUM per advisor
$34.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$948,968derivedHNW RAUM over HNW clients
Average account
$302,095derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
5.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$96.6MreportedItem 5.I
Custody
$50.8M, 51 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$232M61%
  • Individuals$121M32%
  • Pension and profit-sharing plans$18.6M4.9%
  • Corporations and businesses$8.6M2.2%
  • Charitable organizations$2.1M0.5%
Individual clients
555reported
HNW clients
244reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
1,265reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$50.8M for 51 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
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
    • Arthur Todd Slingerland · Managing Member / Chief Compliance Officercontrol
      since 08/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Albany, Ny · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Latham, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,367 to 1,265
      Mar 3, 2022 to Mar 1, 2023
    • HNW clients · 248 to 244
      Mar 3, 2022 to Mar 1, 2023
    • Individual clients · 543 to 555
      Mar 3, 2022 to Mar 1, 2023
    • Pension plan clients · 10 to 11
      Mar 3, 2022 to Mar 1, 2023
    • Assets in custody · $69.2M to $50.8M
      Mar 3, 2022 to Mar 1, 2023
    • Financial planning clients · 11-25 to 1-10
      Mar 3, 2022 to Mar 1, 2023
    • Discretionary RAUM · $476M to $366M
      Mar 3, 2022 to Mar 1, 2023
    • HNW RAUM · $295M to $232M
      Mar 3, 2022 to Mar 1, 2023
    • Individual RAUM · $167M to $121M
      Mar 3, 2022 to Mar 1, 2023
    • Non-discretionary RAUM · $16.4M to $16.5M
      Mar 3, 2022 to Mar 1, 2023
    • Pension RAUM · $17.9M to $18.6M
      Mar 3, 2022 to Mar 1, 2023
    • RAUM · $492M to $382M
      Mar 3, 2022 to Mar 1, 2023
    • Accounts · 1,028 to 1,367
      Oct 15, 2021 to Mar 3, 2022
    • Advisory employees · 12 to 11
      Oct 15, 2021 to Mar 3, 2022
    • BD registered reps · 12 to 11
      Oct 15, 2021 to Mar 3, 2022
    • Corporate clients · 6 to 7
      Oct 15, 2021 to Mar 3, 2022
    • HNW clients · 190 to 248
      Oct 15, 2021 to Mar 3, 2022
    • Individual clients · 482 to 543
      Oct 15, 2021 to Mar 3, 2022
    • Pension plan clients · 5 to 10
      Oct 15, 2021 to Mar 3, 2022
    • Assets in custody · $23.1M to $69.2M
      Oct 15, 2021 to Mar 3, 2022
    • Employees · 13 to 12
      Oct 15, 2021 to Mar 3, 2022
    • Financial planning clients · 1-10 to 11-25
      Oct 15, 2021 to Mar 3, 2022
    • State-registered IARs · 12 to 11
      Oct 15, 2021 to Mar 3, 2022
    • Discretionary RAUM · $308M to $476M
      Oct 15, 2021 to Mar 3, 2022
    • HNW RAUM · $191M to $295M
      Oct 15, 2021 to Mar 3, 2022
    • Individual RAUM · $109M to $167M
      Oct 15, 2021 to Mar 3, 2022
    • Non-discretionary RAUM · $10.9M to $16.4M
      Oct 15, 2021 to Mar 3, 2022
    • Pension RAUM · $11.7M to $17.9M
      Oct 15, 2021 to Mar 3, 2022
    • RAUM · $319M to $492M
      Oct 15, 2021 to Mar 3, 2022
    • Business name · WEALTHPOINT, LLC to WEALTHONE, LLC
      Aug 25, 2021 to Oct 15, 2021
    • Legal name · WEALTHPOINT, LLC to WEALTHONE, LLC
      Aug 25, 2021 to Oct 15, 2021
    • Other offices · 4 to 1
      Aug 25, 2021 to Oct 15, 2021
    • Accounts · 1,468 to 1,028
      May 19, 2021 to Jul 16, 2021
    • Charity clients · 1.0 to unset
      May 19, 2021 to Jul 16, 2021
    • HNW clients · 214 to 190
      May 19, 2021 to Jul 16, 2021
    • Individual clients · 663 to 482
      May 19, 2021 to Jul 16, 2021
    • Discretionary RAUM · $395M to $308M
      May 19, 2021 to Jul 16, 2021
    • HNW RAUM · $218M to $191M
      May 19, 2021 to Jul 16, 2021
    • Individual RAUM · $169M to $109M
      May 19, 2021 to Jul 16, 2021
    • Non-discretionary RAUM · $10.9M to $10.9M
      May 19, 2021 to Jul 16, 2021
    Signals
    14 dated events
    • Brittany Ann Hedderman-Giordano left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Paul Tobias Stracke left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Shelby Lynn Martin left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Todd Arthur Slingerland left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Adam Mark Neary left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Daniel Joseph O'Keefe left Wealthone, Llc for Lpl Financial Llc (registered 2024-01-04)
      Jan 10, 2024 · Advisor changed firm · fact
    • Wealthone, LLC's advisors moved to LPL Financial LLC (Albany, NY): 6 of 6 registered, on the same day
      Jan 10, 2024 · Firm absorbed (people side) · derived
    • Nicholas Reid Kopff left Wealthone, Llc for Mpwm Advisory Solutions Llc (registered 2023-09-25)
      Oct 2, 2023 · Advisor changed firm · fact
    • Clare Mertz left Wealthone, Llc for Lpl Financial Llc (registered 2025-01-02)
      Oct 2, 2023 · Advisor changed firm · fact
    • John Cole Buff left Wealthone, Llc for Mpwm Advisory Solutions Llc (registered 2023-09-25)
      Oct 2, 2023 · Advisor changed firm · fact
    • Adam Christopher Knaust left Wealthone, Llc for Mpwm Advisory Solutions Llc (registered 2023-09-25)
      Oct 2, 2023 · Advisor changed firm · fact
    • 3 advisors left Wealthone, LLC (Albany, NY) for Mpwm Advisory Solutions LLC on the same day
      Oct 2, 2023 · Team lift-out · derived
    • Wealthone, Llc reported RAUM $492.3M, up 55% from $318.5M (2021-10-15 to 2022-03-03)
      Mar 3, 2022 · RAUM change · derived
    • Abb Advisors, Llc filed its initial SEC registration (Form ADV)
      Jul 28, 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.
    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