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P••••••••• A••••••• G•••• L••

Independent wealth managerSEC-registered· Victor, New Yorkwebsite

Independent wealth manager, based in Victor, New York, reporting $216M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$216M
Form ADV
Advisors
3
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+4.1%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $216M
Form ADV
Advisors (3)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 310720 · SEC 801-119613 · 15 filingsShow
CRD 310720SEC 801-119613First filing on the tape Sep 11, 2020, latest Jul 10, 2026SEC status approved since Oct 13, 2020IAPD
RAUM
$216M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$216M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$216M as of Jul 10, 2026
Feb 10, 2021$33.3M then
HNW client RAUM$164M as of Jul 10, 2026
Feb 10, 2021$18.9M then
State-registered IARs (5.B.3)3 as of Jul 10, 2026
Feb 10, 20211 then
Employees (5.A)5 as of Jul 10, 2026
Feb 10, 20214 then
Private funds: no history
RAUM +4.1% over the last fiscal year+6.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 10, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$72.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$273,445derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$189MreportedItem 5.I
Custody
$8.1M, 12 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$164M76%
  • Individuals$52.3M24%
Individual clients
156reported
HNW clients
88reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
790reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$8.1M for 12 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 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
NameBranchHere sinceIn industryPrior firms
J••• P••• H••••••Certified Financial PlannerVictor, NyAug 18, 202124 y0
A••••• V••••••• G••••Victor, NySep 28, 202214 y0
M••••• E•••••••• J••••Victor, NyMay 10, 202417 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• J•••• P••• · Managing Member / Principal And Chief Compliance Officercontrol
        since 09/2020 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P••••••••• A••••••• G•••• L•• as a related person
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Victor, Ny · principal300
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 833 to 790
        Jul 14, 2025 to Mar 4, 2026
      • HNW clients · 82 to 88
        Jul 14, 2025 to Mar 4, 2026
      • Individual clients · 158 to 156
        Jul 14, 2025 to Mar 4, 2026
      • Assets in custody · $9.2M to $8.1M
        Jul 14, 2025 to Mar 4, 2026
      • Employees · 4 to 5
        Jul 14, 2025 to Mar 4, 2026
      • Discretionary RAUM · $207M to $216M
        Jul 14, 2025 to Mar 4, 2026
      • HNW RAUM · $155M to $164M
        Jul 14, 2025 to Mar 4, 2026
      • Individual RAUM · $52.5M to $52.3M
        Jul 14, 2025 to Mar 4, 2026
      • RAUM · $207M to $216M
        Jul 14, 2025 to Mar 4, 2026
      • BD registered reps · 1 to 0
        Mar 11, 2025 to Jul 14, 2025
      • Financial planning clients · 101-250 to 101-250
        Mar 11, 2025 to Jul 14, 2025
      • Accounts · 859 to 833
        Sep 26, 2024 to Mar 11, 2025
      • Advisory employees · 2 to 3
        Sep 26, 2024 to Mar 11, 2025
      • Advisory activities · 2 to 3
        Sep 26, 2024 to Mar 11, 2025
      • HNW clients · 69 to 82
        Sep 26, 2024 to Mar 11, 2025
      • Individual clients · 184 to 158
        Sep 26, 2024 to Mar 11, 2025
      • Assets in custody · $614,971 to $9.2M
        Sep 26, 2024 to Mar 11, 2025
      • Employees · 5 to 4
        Sep 26, 2024 to Mar 11, 2025
      • State-registered IARs · 2 to 3
        Sep 26, 2024 to Mar 11, 2025
      • Discretionary RAUM · $197M to $207M
        Sep 26, 2024 to Mar 11, 2025
      • HNW RAUM · $135M to $155M
        Sep 26, 2024 to Mar 11, 2025
      • Individual RAUM · $61.9M to $52.5M
        Sep 26, 2024 to Mar 11, 2025
      • RAUM · $197M to $207M
        Sep 26, 2024 to Mar 11, 2025
      • Accounts · 873 to 859
        Apr 25, 2023 to Mar 5, 2024
      • Advisory activities · 3 to 2
        Apr 25, 2023 to Mar 5, 2024
      • HNW clients · 66 to 69
        Apr 25, 2023 to Mar 5, 2024
      • Individual clients · 181 to 184
        Apr 25, 2023 to Mar 5, 2024
      • Assets in custody · $579,501 to $614,971
        Apr 25, 2023 to Mar 5, 2024
      • Employees · 3 to 5
        Apr 25, 2023 to Mar 5, 2024
      • Discretionary RAUM · $177M to $197M
        Apr 25, 2023 to Mar 5, 2024
      • HNW RAUM · $120M to $135M
        Apr 25, 2023 to Mar 5, 2024
      • Individual RAUM · $57.3M to $61.9M
        Apr 25, 2023 to Mar 5, 2024
      • RAUM · $177M to $197M
        Apr 25, 2023 to Mar 5, 2024
      • Accounts · 751 to 873
        Jul 8, 2022 to Mar 17, 2023
      • Advisory employees · 1 to 2
        Jul 8, 2022 to Mar 17, 2023
      • HNW clients · 77 to 66
        Jul 8, 2022 to Mar 17, 2023
      • Individual clients · 166 to 181
        Jul 8, 2022 to Mar 17, 2023
      • Assets in custody · $9.8M to $579,501
        Jul 8, 2022 to Mar 17, 2023
      • Employees · 4 to 3
        Jul 8, 2022 to Mar 17, 2023
      • State-registered IARs · 1 to 2
        Jul 8, 2022 to Mar 17, 2023
      Signals
      2 dated events
      • ••• Locked
        Jul 10, 2026 · Control person joined · fact
      • ••• Locked
        Sep 11, 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 phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
      $72.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026