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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N••••••••• W••••• P•••••••• I•••
Latest filing Apr 17, 2026
First filing on the tape Jan 22, 2020 · 30 filings
SEC status approved since Mar 22, 2021
RAUM
$80.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$80.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$20.1M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$80.5M as of Apr 17, 2026
Feb 17, 2021$32.2M then
HNW client RAUM$33.2M as of Apr 17, 2026
Feb 17, 2021$21.4M then
State-registered IARs (5.B.3)4 as of Apr 17, 2026
Feb 17, 20211 then
Employees (5.A)7 as of Apr 17, 2026
Feb 17, 20213 then
Private funds: no history
RAUM +23% over the last fiscal year+29% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- $20.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $269,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%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
- $211,983reportedItem 5.I
- Custody
- $6.5M, 6 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$47.3M59%
- High-net-worth individuals$33.2M41%
- Individual clients
- 126reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 299reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $67.9M managedreported
- Custody of client assets
- $6.5M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• A•••••• R•••••••Chartered Financial Consultant | Syracuse, Ny | Jan 25, 2023 | 39 y | 2 |
| A•••••• V•• O••Certified Financial Planner | Orlando, Fl | Apr 5, 2023 | 28 y | 6 |
| J••••• D•••• P••••••••• | Latham, Ny | Sep 5, 2023 | 34 y | 3 |
| M•••••• T••••• C•••••••• | Dewitt, Ny | Aug 19, 2025 | 29 y | 3 |
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 headcount4 left over 36 months
Left, latest
- T••• A•••••• M••••••• to I••••• R••••••••• A•••••••Aug 2, 2024 · RIA to a newly registered adviser
- I•••• R••••• K••• C•••••• to I••••• R••••••••• A•••••••Jul 11, 2024 · RIA to a newly registered adviser
- D••••• L••••• to S••••• F•••••••• A•••••••• L••Apr 15, 2024 · Other
- L•••• J•• P••••••• to C•••••• C•••••• M••••••••• L••Feb 29, 2024 · RIA to RIA
- J••••• H••••• L••••• to B••• L••• C•••••• A•••••••Apr 27, 2022 · RIA to a state-registered adviser
Joined, latest
- M•••••• T••••• C•••••••• from H••• S••••••••• •••• I•••Aug 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••••• L••••• from F•• A•••• M•••Oct 10, 2023 · RIA to RIA
- L•••• J•• P••••••• from F•• A•••• M•••Oct 10, 2023 · RIA to RIA
- J••••• D•••• P••••••••• from C••••• I••••••••• A••••••• L••Sep 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- A•••••• V•• O•• from D•••••• W••••• P•••••••• L••Apr 5, 2023 · RIA to RIA
- P••• A•••••• R••••••• from I••••• F•••••••• C•••••••••Jan 25, 2023 · Other
- T••• A•••••• M••••••• from F•• A•••• M•••Jan 3, 2022 · RIA to RIA
- J••••• H••••• L••••• from G••••• T••••Feb 26, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F•• A•••• M•••Sep 26, 2021 · Bloomington, Mn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• C••••••• M•••••• · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- R•••••••• P•••• A•••••• · President And Ceocontrolsince 10/2022 · owns less than 5%
- V•• O••• A••••••• F••••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- C•••••••• B••• N••• · Ownerdirect · owns 75% or more
- C•••••••• B••• S•••••• I•• · Ownerindirect · owns 75% or more of C•••••••• B••• N••• · public reporting company
Related persons
Schedule D 7.A
- B•••••• P•••• A••••••••• S•••••••• I•••LP sponsorn
- C•••••••• B••• N•y
- C•••••••• I••••••••• S••••••• I••real estaten
- H••• B••••••• • T•••• C••••••n
- H••• S••••••••• I••broker-dealern
- N••••••••• A••••••• I•••investment advisernRAUM $1.4B
- O••••••• N•• I••real estaten
Advisers that list N••••••••• W••••• P•••••••• I••• as a related person
- 104928 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 3 | 0 | 0 | ||
| Northfield, Mn | 0 | 0 | 0 | ||
| Savage, Mn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bloomington, MN1 employees
- Latham, NY1 employees
- Sioux Falls, SD1 employees
- Syracuse, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 273 to 299Apr 21, 2025 to Feb 23, 2026
- Advisory employees · 2 to 3Apr 21, 2025 to Feb 23, 2026
- BD registered reps · 3 to 4Apr 21, 2025 to Feb 23, 2026
- HNW clients · 17 to 16Apr 21, 2025 to Feb 23, 2026
- Individual clients · 115 to 126Apr 21, 2025 to Feb 23, 2026
- Assets in custody · $4.1M to $6.5MApr 21, 2025 to Feb 23, 2026
- Employees · 6 to 7Apr 21, 2025 to Feb 23, 2026
- State-registered IARs · 3 to 4Apr 21, 2025 to Feb 23, 2026
- Discretionary RAUM · $65.6M to $80.5MApr 21, 2025 to Feb 23, 2026
- HNW RAUM · $28.5M to $33.2MApr 21, 2025 to Feb 23, 2026
- Individual RAUM · $37.1M to $47.3MApr 21, 2025 to Feb 23, 2026
- RAUM · $65.6M to $80.5MApr 21, 2025 to Feb 23, 2026
- Wrap assets (manager) · $64.3M to $67.9MApr 21, 2025 to Feb 23, 2026
- Accounts · 287 to 273May 7, 2024 to Apr 21, 2025
- Advisory employees · 4 to 2May 7, 2024 to Apr 21, 2025
- BD registered reps · 4 to 3May 7, 2024 to Apr 21, 2025
- Business name · O••••••• W••••• P•••••••• I••• to N••••••••• W••••• P•••••••• I•••May 7, 2024 to Apr 21, 2025
- HNW clients · 20 to 17May 7, 2024 to Apr 21, 2025
- Individual clients · 138 to 115May 7, 2024 to Apr 21, 2025
- Assets in custody · $13.8M to $4.1MMay 7, 2024 to Apr 21, 2025
- Employees · 8 to 6May 7, 2024 to Apr 21, 2025
- Financial planning clients · 1-10 to 1-10May 7, 2024 to Apr 21, 2025
- State-registered IARs · 5 to 3May 7, 2024 to Apr 21, 2025
- Legal name · O••••••• W••••• P•••••••• I••• to N••••••••• W••••• P•••••••• I•••May 7, 2024 to Apr 21, 2025
- Other offices · 6 to 4May 7, 2024 to Apr 21, 2025
- Discretionary RAUM · $89.1M to $65.6MMay 7, 2024 to Apr 21, 2025
- HNW RAUM · $54.1M to $28.5MMay 7, 2024 to Apr 21, 2025
- Individual RAUM · $38.7M to $37.1MMay 7, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $3.7M to $0May 7, 2024 to Apr 21, 2025
- RAUM · $92.9M to $65.6MMay 7, 2024 to Apr 21, 2025
- Wrap assets (manager) · $49.9M to $64.3MMay 7, 2024 to Apr 21, 2025
- Accounts · 78 to 287Sep 27, 2023 to Mar 26, 2024
- HNW clients · 34 to 20Sep 27, 2023 to Mar 26, 2024
- Individual clients · 72 to 138Sep 27, 2023 to Mar 26, 2024
- Assets in custody · $10.1M to $13.8MSep 27, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 1-10Sep 27, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 5Sep 27, 2023 to Mar 26, 2024
- Other offices · 5 to 6Sep 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $37.2M to $89.1MSep 27, 2023 to Mar 26, 2024
- HNW RAUM · $26.4M to $54.1MSep 27, 2023 to Mar 26, 2024
Signals
13 dated events
- T••• A•••••• M••••••• left N••••••••• W••••• P•••••••• I••• for I••••• R••••••••• A••••••• (registered 2024-06-07)Aug 2, 2024 · Advisor changed firm · fact
- I•••• R••••• K••• C•••••• left N••••••••• W••••• P•••••••• I••• for I••••• R••••••••• A••••••• (registered 2024-06-07)Jul 11, 2024 · Advisor changed firm · fact
- D••••• L••••• left N••••••••• W••••• P•••••••• I••• for S••••• F•••••••• A•••••••• L•• (registered 2024-07-15)Apr 15, 2024 · Advisor changed firm · fact
- L•••• J•• P••••••• left N••••••••• W••••• P•••••••• I••• for C•••••• C•••••• M••••••••• L•• (registered 2024-04-18)Feb 29, 2024 · Advisor changed firm · fact
- Bruce David Coon (Chief Compliance Officer) no longer on Schedule A of N••••••••• W••••• P•••••••• I••• (listed 2022-11-09, absent 2023-02-27)Feb 27, 2023 · Control person left · inference
- Franklin A•••••• V•• O•• (Chief Compliance Officer) appeared on Schedule A of N••••••••• W••••• P•••••••• I•••Feb 27, 2023 · Control person joined · fact
- Maureen Chasity Jaynes (Chief Operating Officer) appeared on Schedule A of N••••••••• W••••• P•••••••• I•••Oct 21, 2022 · Control person joined · fact
- A•••••• Paul Restante (President And Ceo) appeared on Schedule A of N••••••••• W••••• P•••••••• I•••Oct 21, 2022 · Control person joined · fact
- J••••• H••••• L••••• left N••••••••• W••••• P•••••••• I••• for B••• L••• C•••••• A••••••• (registered 2022-04-14)Apr 27, 2022 · Advisor changed firm · fact
- Bruce David Coon (Chief Compliance Officer) appeared on Schedule A of N••••••••• W••••• P•••••••• I•••Feb 17, 2021 · Control person joined · fact
- Harold Joseph Littky (Managing Director And Chief Compliance Officer) no longer on Schedule A of N••••••••• W••••• P•••••••• I••• (listed 2020-07-01, absent 2021-02-17)Feb 17, 2021 · Control person left · inference
- Bruce David Coon (Chief Compliance Officer) no longer on Schedule A of N••••••••• W••••• P•••••••• I••• (listed 2020-05-19, absent 2020-05-22)May 22, 2020 · Control person left · inference
- C•••••••• B•••• N••• filed its initial SEC registration (Form ADV)Jan 22, 2020 · 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
- info@nottinghamwealthpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-273-7699reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-472-2312reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-384-1779reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/nottingham-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nottinghamwealthpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-472-2312reportedpublic record, Form ADV, Apr 17, 2026
- Team page
- onegroupwealthpartners.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $20.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026