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.

SEC-registered adviser

Holistic Wealth Advisors

Independent wealth managerClifton Park, New YorkCRD 332918SEC 801-131511websiteIAPD
Latest filing Aug 26, 2026
First filing on the tape Oct 25, 2024 · 9 filings
SEC status approved since Nov 26, 2024
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$274M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$39.8M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$279M as of Aug 26, 2026
Mar 31, 2025$234M then
HNW client RAUM$158M as of Aug 26, 2026
Mar 31, 2025$114M then
State-registered IARs (5.B.3)6 as of Aug 26, 2026
Mar 31, 20255 then
Employees (5.A)10 as of Aug 26, 2026
Mar 31, 202510 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 5 to 6offices 0 to 1
Practice profile
derived from the filing of Aug 26, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$39.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
92derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$221,170derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.5%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$279MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$158M57%
  • Individuals$116M41%
  • Pension and profit-sharing plans$4.1M1.5%
  • Corporations and businesses$758,3860.3%
  • Charitable organizations$3,1840.0%
Individual clients
526reported
HNW clients
116reported
Pension plan clients
10reported
Charitable clients
1reported
Accounts
1,260reported
Financial planning clients
26-50reported
Wrap fee programs
$279M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Lakshmi NagarajanCertified Financial PlannerClifton Park, NyDec 16, 202425 y4
Stacy Ann CliffordClifton Park, NyDec 16, 202424 y3
Sue Ann DonovanClifton Park, NyDec 20, 202432 y1
Charles Gary DrakeClifton Park, Ny Dec 20, 202425 y2
Michael Franklin MccamyClifton Park, NyDec 20, 202434 y2
Thomas Andrew LynchCertified Financial Planner, Chartered Financial ConsultantClifton Park, NyMay 5, 202517 y2
Candace M GregoryClifton Park, NySep 3, 202613 y2
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ann Stacy Clifford · Managing Member/Ownercontrol
        since 10/2024 · owns 75% or more
      • Spencer Jeffrey Sargent · Chief Compliance Officercontrol
        since 10/2024 · owns less than 5%
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Clifton Park, Ny · principal710
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,097 to 1,260
        May 5, 2025 to Mar 30, 2026
      • Advisory employees · 5 to 6
        May 5, 2025 to Mar 30, 2026
      • Corporate clients · 2 to 3
        May 5, 2025 to Mar 30, 2026
      • HNW clients · 115 to 116
        May 5, 2025 to Mar 30, 2026
      • Individual clients · 524 to 526
        May 5, 2025 to Mar 30, 2026
      • Pension plan clients · 12 to 10
        May 5, 2025 to Mar 30, 2026
      • Financial planning clients · 0 to 26-50
        May 5, 2025 to Mar 30, 2026
      • State-registered IARs · 5 to 6
        May 5, 2025 to Mar 30, 2026
      • Other offices · 0 to 1
        May 5, 2025 to Mar 30, 2026
      • Discretionary RAUM · $234M to $279M
        May 5, 2025 to Mar 30, 2026
      • HNW RAUM · $114M to $158M
        May 5, 2025 to Mar 30, 2026
      • Individual RAUM · $116M to $116M
        May 5, 2025 to Mar 30, 2026
      • Pension RAUM · $3.9M to $4.1M
        May 5, 2025 to Mar 30, 2026
      • RAUM · $234M to $279M
        May 5, 2025 to Mar 30, 2026
      • Wrap assets (sponsor) · $234M to $279M
        May 5, 2025 to Mar 30, 2026
      • Financial planning clients · 0 to 0
        Mar 31, 2025 to May 5, 2025
      • Accounts · 0 to 1,097
        Dec 18, 2024 to Mar 31, 2025
      • BD registered reps · 4 to 6
        Dec 18, 2024 to Mar 31, 2025
      • Charity clients · 0 to 1
        Dec 18, 2024 to Mar 31, 2025
      • Corporate clients · 0 to 2
        Dec 18, 2024 to Mar 31, 2025
      • HNW clients · 0 to 115
        Dec 18, 2024 to Mar 31, 2025
      • Individual clients · 0 to 524
        Dec 18, 2024 to Mar 31, 2025
      • Pension plan clients · 0 to 12
        Dec 18, 2024 to Mar 31, 2025
      • Employees · 9 to 10
        Dec 18, 2024 to Mar 31, 2025
      • Discretionary RAUM · $0 to $234M
        Dec 18, 2024 to Mar 31, 2025
      • HNW RAUM · $0 to $114M
        Dec 18, 2024 to Mar 31, 2025
      • Individual RAUM · $0 to $116M
        Dec 18, 2024 to Mar 31, 2025
      • Pension RAUM · $0 to $3.9M
        Dec 18, 2024 to Mar 31, 2025
      • RAUM · $0 to $234M
        Dec 18, 2024 to Mar 31, 2025
      • Wrap assets (sponsor) · $0 to $234M
        Dec 18, 2024 to Mar 31, 2025
      • Related adviser · false to true
        Oct 25, 2024 to Nov 6, 2024
      Signals
      2 dated events
      • 3 advisors left Stratos Wealth Partners, LTD (Clifton Park, NY) for Holistic Wealth Advisors on the same day
        Dec 23, 2024 · Team lift-out · derived
      • Holistic Wealth Advisors filed its initial SEC registration (Form ADV)
        Oct 25, 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
      Business email
      info@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      cynthia@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      julie@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      kyle@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      lori@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      sophia@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      sueann@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      suzi@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      tom@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business email
      amber@holisticwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      203-458-1323reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      518-280-9189reportedpublished 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
      $39.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026