DFX Intelligence
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M••••••• M••••••• I•••
Independent wealth manager, based in Latham, New York, reporting $177M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $177M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 99% of RAUM, $176M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 288654 · SEC 801-110817 · 29 filingsShowHide
CRD 288654SEC 801-110817First filing on the tape Jun 14, 2017, latest Jan 8, 2026SEC status approved since Jul 21, 2017IAPD
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$176M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.0M
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
29 filings and snapshots on the tape
RAUM$177M as of Jan 8, 2026
Feb 1, 2018$57.4M then
HNW client RAUM$136M as of Jan 8, 2026
Feb 1, 2018$23.8M then
State-registered IARs (5.B.3)3 as of Jan 8, 2026
Feb 1, 20181 then
Employees (5.A)3 as of Jan 8, 2026
Feb 1, 20181 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jan 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $341,800derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- 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$136M77%
- Individuals$39.8M22%
- Charitable organizations$817,8830.5%
- Corporations and businesses$285,9660.2%
- Individual clients
- 159reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 518reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••• R•••Certified Financial Planner | Latham, Ny | Aug 8, 2017 | 34 y | 2 |
| L•••• E•••••••• S••••••• | Latham, Ny | May 27, 2020 | 17 y | 0 |
| J•••• P•••••• D••••••••• | Latham, Ny | Nov 2, 2025 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• S••• R••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• M••••••• S••• · President & Chief Compliance Officercontrolsince 01/2003 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Latham, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 528 to 518Nov 5, 2025 to Jan 8, 2026
- Charity clients · 2 to 3Nov 5, 2025 to Jan 8, 2026
- HNW clients · 64 to 63Nov 5, 2025 to Jan 8, 2026
- Discretionary RAUM · $155M to $177MNov 5, 2025 to Jan 8, 2026
- HNW RAUM · $118M to $136MNov 5, 2025 to Jan 8, 2026
- Individual RAUM · $36.7M to $39.8MNov 5, 2025 to Jan 8, 2026
- RAUM · $155M to $177MNov 5, 2025 to Jan 8, 2026
- Advisory employees · 2 to 3May 21, 2025 to Nov 5, 2025
- Employees · 2 to 3May 21, 2025 to Nov 5, 2025
- State-registered IARs · 2 to 3May 21, 2025 to Nov 5, 2025
- Financial planning clients · 101-250 to 101-250Jan 22, 2025 to May 21, 2025
- Accounts · 503 to 528Feb 1, 2024 to Jan 22, 2025
- Business name · M••••••• M•••••• to M••••••• M••••••• I•••Feb 1, 2024 to Jan 22, 2025
- Charity clients · 1 to 2Feb 1, 2024 to Jan 22, 2025
- HNW clients · 56 to 64Feb 1, 2024 to Jan 22, 2025
- Individual clients · 162 to 159Feb 1, 2024 to Jan 22, 2025
- Legal name · M•••••• S• R•••• I••. to M••••••• M••••••• I•••Feb 1, 2024 to Jan 22, 2025
- Discretionary RAUM · $130M to $155MFeb 1, 2024 to Jan 22, 2025
- HNW RAUM · $94.9M to $118MFeb 1, 2024 to Jan 22, 2025
- Individual RAUM · $34.9M to $36.7MFeb 1, 2024 to Jan 22, 2025
- RAUM · $130M to $155MFeb 1, 2024 to Jan 22, 2025
- Accounts · 481 to 503Jun 14, 2023 to Feb 1, 2024
- HNW clients · 54 to 56Jun 14, 2023 to Feb 1, 2024
- Individual clients · 160 to 162Jun 14, 2023 to Feb 1, 2024
- Discretionary RAUM · $105M to $130MJun 14, 2023 to Feb 1, 2024
- HNW RAUM · $75.4M to $94.9MJun 14, 2023 to Feb 1, 2024
- Individual RAUM · $29.2M to $34.9MJun 14, 2023 to Feb 1, 2024
- RAUM · $105M to $130MJun 14, 2023 to Feb 1, 2024
- Accounts · 447 to 481Jun 2, 2022 to Jan 25, 2023
- HNW clients · 61 to 54Jun 2, 2022 to Jan 25, 2023
- Individual clients · 137 to 160Jun 2, 2022 to Jan 25, 2023
- Discretionary RAUM · $107M to $105MJun 2, 2022 to Jan 25, 2023
- HNW RAUM · $79.0M to $75.4MJun 2, 2022 to Jan 25, 2023
- Individual RAUM · $27.2M to $29.2MJun 2, 2022 to Jan 25, 2023
- RAUM · $107M to $105MJun 2, 2022 to Jan 25, 2023
- Accounts · 424 to 447Sep 10, 2021 to Feb 7, 2022
- Corporate clients · 0 to 1Sep 10, 2021 to Feb 7, 2022
- HNW clients · 49 to 61Sep 10, 2021 to Feb 7, 2022
- Discretionary RAUM · $81.0M to $107MSep 10, 2021 to Feb 7, 2022
- HNW RAUM · $57.9M to $79.0MSep 10, 2021 to Feb 7, 2022
Signals
1 dated events
- ••• LockedJun 14, 2017 · 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jan 8, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 8, 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
- $59.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026