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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SEC-registered adviser
A••••••••• G•••• L••
Latest filing Feb 9, 2026
First filing on the tape Sep 14, 2021 · 26 filings
SEC status approved since Oct 15, 2021
RAUM
$303M
reported, Item 5.F
Discretionary
9.7%
of RAUM
Private clients
100%
$303M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$60.6M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$303M as of Feb 9, 2026
Feb 16, 2022$0 then
HNW client RAUM$189M as of Feb 9, 2026
Feb 10, 2023$105M then
State-registered IARs (5.B.3)5 as of Feb 9, 2026
Feb 16, 20224 then
Employees (5.A)6 as of Feb 9, 2026
Feb 16, 20225 then
Private funds: no history
RAUM +12% over the last fiscal year+21% a year over threeIARs 6 to 5offices 2 to 1
Practice profile
derived from the filing of Feb 9, 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
- RAUM per advisor
- $60.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $327,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 9.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$189M63%
- Individuals$113M37%
- Individual clients
- 339reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 925reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• B•••••• H•••Certified Financial Planner | A•••••, Ny | Oct 21, 2021 | 26 y | 1 |
| L••• G•••• M•••••Certified Financial Planner | A•••••, Ny | Oct 21, 2021 | 20 y | 1 |
| M•••••• J••••• C••••••• | A•••••, Ny | Oct 21, 2021 | 19 y | 0 |
| M••• A•••• A•••Certified Financial Planner | A•••••, Ny | Oct 21, 2021 | 28 y | 1 |
| M•••••• S••• L•••• | Albany, Ny | Oct 27, 2023 | 26 y | 1 |
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
- I•• R• M••• to L•• F•••••••• L••Aug 12, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• S••• L•••• from C••••• I••••••••• A••••••• L••Oct 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• B•••••• H••• from P•• A••••••• S•••••••• L••Oct 21, 2021 · Other
- M••• A•••• A••• from P•• A••••••• S•••••••• L••Oct 21, 2021 · Other
- L••• G•••• M••••• from P•• A••••••• S•••••••• L••Oct 21, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from P•• A••••••• S•••••••• L••Dec 31, 2022 · A•••••, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• M•••• A•••• · Founding Partnercontrolsince 08/2021 · owns 25% to 50%
- C•••••••• M••••••• J••••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- H•••• S••••• B•••••• · Founding Partnercontrolsince 08/2021 · owns 10% to 25%
- M•••••• L•••• G•••• · Founding Partnercontrolsince 08/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- L•••• • C•• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| A•••••, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- A•••••, NY1 employees
- A•••••, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 936 to 925Aug 15, 2025 to Feb 9, 2026
- HNW clients · 59 to 70Aug 15, 2025 to Feb 9, 2026
- Individual clients · 363 to 339Aug 15, 2025 to Feb 9, 2026
- Discretionary RAUM · $25.3M to $29.3MAug 15, 2025 to Feb 9, 2026
- HNW RAUM · $155M to $189MAug 15, 2025 to Feb 9, 2026
- Individual RAUM · $115M to $113MAug 15, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $245M to $273MAug 15, 2025 to Feb 9, 2026
- RAUM · $270M to $303MAug 15, 2025 to Feb 9, 2026
- Advisory employees · 7 to 6Feb 6, 2025 to Aug 15, 2025
- Employees · 7 to 6Feb 6, 2025 to Aug 15, 2025
- State-registered IARs · 6 to 5Feb 6, 2025 to Aug 15, 2025
- Other offices · 2 to 1Feb 6, 2025 to Aug 15, 2025
- Accounts · 645 to 936Sep 19, 2024 to Feb 6, 2025
- Advisory activities · 3 to 4Sep 19, 2024 to Feb 6, 2025
- HNW clients · 51 to 59Sep 19, 2024 to Feb 6, 2025
- Individual clients · 238 to 363Sep 19, 2024 to Feb 6, 2025
- Financial planning clients · 251-500 to 251-500Sep 19, 2024 to Feb 6, 2025
- Discretionary RAUM · $22.4M to $25.3MSep 19, 2024 to Feb 6, 2025
- HNW RAUM · $127M to $155MSep 19, 2024 to Feb 6, 2025
- Individual RAUM · $85.7M to $115MSep 19, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $190M to $245MSep 19, 2024 to Feb 6, 2025
- RAUM · $212M to $270MSep 19, 2024 to Feb 6, 2025
- Related insurance company · false to trueJan 18, 2024 to May 2, 2024
- Accounts · 563 to 645Nov 13, 2023 to Jan 18, 2024
- HNW clients · 49 to 51Nov 13, 2023 to Jan 18, 2024
- Individual clients · 208 to 238Nov 13, 2023 to Jan 18, 2024
- Discretionary RAUM · $9.3M to $22.4MNov 13, 2023 to Jan 18, 2024
- HNW RAUM · $105M to $127MNov 13, 2023 to Jan 18, 2024
- Individual RAUM · $67.5M to $85.7MNov 13, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $163M to $190MNov 13, 2023 to Jan 18, 2024
- RAUM · $173M to $212MNov 13, 2023 to Jan 18, 2024
- Advisory employees · 6 to 7Oct 9, 2023 to Nov 13, 2023
- BD registered reps · 5 to 6Oct 9, 2023 to Nov 13, 2023
- Employees · 6 to 7Oct 9, 2023 to Nov 13, 2023
- State-registered IARs · 5 to 6Oct 9, 2023 to Nov 13, 2023
- Other offices · 1 to 2Oct 9, 2023 to Nov 13, 2023
- Advisory employees · 5 to 6Jun 22, 2023 to Aug 28, 2023
- Employees · 5 to 6Jun 22, 2023 to Aug 28, 2023
- State-registered IARs · 4 to 5Jun 22, 2023 to Aug 28, 2023
- Other offices · 0 to 1Jun 22, 2023 to Aug 28, 2023
Signals
3 dated events
- I•• R• M••• left A••••••••• G•••• L•• for L•• F•••••••• L•• (registered 2025-08-08)Aug 12, 2025 · a•••••• firm change · fact
- 3 advisors left P•• A••••••• S•••••••• L•• (Albany, NY) for A••••••••• G•••• L•• on the same dayDec 31, 2022 · Team lift-out · derived
- A••••• A•••••• G•••• filed its initial SEC registration (Form ADV)Sep 14, 2021 · 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@albanyadvisor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-380-6464reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-689-3577reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- albanyadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (518) 689-3577reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- albanyadvisor.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- albanyadvisor.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $60.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026