DFX Intelligence
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SEC-registered adviser
M•••••• W••••• A•••••••
Legal name E•••••••• R••••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Jun 5, 2024 · 4 filings
SEC status approved since Jul 5, 2024
RAUM
$71.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$35.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$71.1M as of Mar 12, 2026
Feb 28, 2025$55.3M then
HNW client RAUM$36.3M as of Mar 12, 2026
Feb 28, 2025$19.7M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Feb 28, 20252 then
Employees (5.A)2 as of Mar 12, 2026
Feb 28, 20252 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $907,824derivedHNW RAUM over HNW clients
- Average account
- $249,483derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $65.3M, 96 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$36.3M51%
- Individuals$34.8M49%
- Individual clients
- 75reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 285reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.3M for 96 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• P••• M••••••Certified Financial Planner | Latham, Ny | Jul 23, 2022 | 36 y | 0 |
| P•••••• J••••• M•••••• | Latham, Ny | Feb 12, 2023 | 11 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• P••••••• J••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- M••••••• S••••••• P••• · Managing Directorcontrolsince 04/2022 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• P••• M••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Latham, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 36.0% to 51.0% between the annual amendments of 2025-02-28 and 2026-03-12peers: independent wealth managers, under $100M (708)
- client count collapseChange between filings · filing Mar 12, 2026individual and HNW clients (Item 5.D) moved from 179.0 to 115.0 (-36.0%) between the annual amendments of 2025-02-28 and 2026-03-12; the peer median change was 0.0% (119 comparable advisers, 9.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 9.3% percentile
What changed
consecutive filings, newest first
- Accounts · 264 to 285Feb 28, 2025 to Mar 12, 2026
- HNW clients · 16 to 40Feb 28, 2025 to Mar 12, 2026
- Individual clients · 163 to 75Feb 28, 2025 to Mar 12, 2026
- Assets in custody · $35.4M to $65.3MFeb 28, 2025 to Mar 12, 2026
- Discretionary RAUM · $55.3M to $71.1MFeb 28, 2025 to Mar 12, 2026
- HNW RAUM · $19.7M to $36.3MFeb 28, 2025 to Mar 12, 2026
- Individual RAUM · $35.6M to $34.8MFeb 28, 2025 to Mar 12, 2026
- RAUM · $55.3M to $71.1MFeb 28, 2025 to Mar 12, 2026
- Accounts · 152 to 264Jul 10, 2024 to Feb 28, 2025
- HNW clients · 23 to 16Jul 10, 2024 to Feb 28, 2025
- Individual clients · 74 to 163Jul 10, 2024 to Feb 28, 2025
- Assets in custody · unset to 35422324.0Jul 10, 2024 to Feb 28, 2025
- Custody of client assets · false to trueJul 10, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Jul 10, 2024 to Feb 28, 2025
- Discretionary RAUM · $29.4M to $55.3MJul 10, 2024 to Feb 28, 2025
- HNW RAUM · $20.5M to $19.7MJul 10, 2024 to Feb 28, 2025
- Individual RAUM · $8.9M to $35.6MJul 10, 2024 to Feb 28, 2025
- RAUM · $29.4M to $55.3MJul 10, 2024 to Feb 28, 2025
Signals
1 dated events
- ••• LockedJun 5, 2024 · 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
- Principal office phone
- 518-786-3534reportedpublic record, Form ADV, Mar 12, 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
- $35.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026