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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Former SEC-registered adviser

U•••••• W••••• M••••••••• L••

Former SEC-registered adviserCortland, New YorkCRD 332762SEC 801-131073websiteIAPD
Latest filing Mar 4, 2025
First filing on the tape Aug 8, 2024 · 2 filings
SEC status 120-day approval since Sep 6, 2024
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$1.8M as of Mar 4, 2025
Aug 8, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 4, 2025
Aug 8, 20242 then
Employees (5.A)2 as of Mar 4, 2025
Aug 8, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
RAUM per advisor
$914,596derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$130,657derivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.8M100%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• B•••• A•••••••• · Managing Membercontrol
    since 07/2024 · owns 50% to 75%
  • R••••••••• M••••••• R•••••• · Managing Member / Ccocontrol
    since 07/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Cortland, Ny · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 14
    Aug 8, 2024 to Mar 4, 2025
  • Advisory employees · 2 to 1
    Aug 8, 2024 to Mar 4, 2025
  • BD registered reps · 2 to 1
    Aug 8, 2024 to Mar 4, 2025
  • Individual clients · unset to 8.0
    Aug 8, 2024 to Mar 4, 2025
  • Insurance-licensed employees · 0 to 1
    Aug 8, 2024 to Mar 4, 2025
  • Discretionary RAUM · $0 to $1.8M
    Aug 8, 2024 to Mar 4, 2025
  • Individual RAUM · unset to 1829191.0
    Aug 8, 2024 to Mar 4, 2025
  • RAUM · $0 to $1.8M
    Aug 8, 2024 to Mar 4, 2025
  • Related adviser · false to true
    Aug 8, 2024 to Mar 4, 2025
Signals
3 dated events
  • U•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $1.8M)
    Aug 1, 2025 · Left the SEC roster · derived
  • M•••••• R•••••••• left U•••••• W••••• M••••••••• L•• for I••••••••• F•••••••• P••••••• (registered 2025-06-02)
    Jun 25, 2025 · Advisor changed firm · fact
  • U•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 8, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026