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
T••••••• W••••• S••••••••
Legal name T••••••• W••••• S••••••••• L••
Latest filing Jun 5, 2026
First filing on the tape Jan 20, 2026 · 3 filings
SEC status approved since Feb 6, 2026
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$272M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$67.9M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$272M as of Jun 5, 2026
Jan 20, 2026$0 then
HNW client RAUM: $173M
State-registered IARs (5.B.3)4 as of Jun 5, 2026
Jan 20, 20264 then
Employees (5.A)7 as of Jun 5, 2026
Jan 20, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 5, 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
- RAUM per advisor
- $67.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $365,292derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $53.5M, 121 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M64%
- Individuals$98.6M36%
- Individual clients
- 183reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 744reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.5M for 121 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• T•••• | Saratoga Springs, Ny | Mar 16, 2026 | 21 y | 4 |
| J••• J••••• P••••••••Certified Financial Planner | Saratoga Springs, Ny | Mar 16, 2026 | 12 y | 1 |
| N•••••• R••••• C•••••• | Saratoga Springs, Ny | Mar 16, 2026 | 10 y | 2 |
| J•••• R••••• D•••••Certified Financial Planner | Saratoga Springs, Ny | Aug 11, 2026 | 25 y | 3 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- J•••• R••••• D••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 11, 2026 · Wirehouse to independent RIA
- M•••••• R•••••• T•••• from E•••• S••••••••• L••Mar 16, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• J••••• P•••••••• from E•••• S••••••••• L••Mar 16, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- N•••••• R••••• C•••••• from E•••• S••••••••• L••Mar 16, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from E•••• S••••••••• L••Mar 17, 2026 · Saratoga Springs, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jun 5, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-10, yes on the filing of 2026-06-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 744Mar 10, 2026 to Jun 5, 2026
- HNW clients · unset to 70.0Mar 10, 2026 to Jun 5, 2026
- Individual clients · unset to 183.0Mar 10, 2026 to Jun 5, 2026
- Assets in custody · unset to 53500499.0Mar 10, 2026 to Jun 5, 2026
- Custody of client assets · false to trueMar 10, 2026 to Jun 5, 2026
- Discretionary RAUM · $0 to $272MMar 10, 2026 to Jun 5, 2026
- HNW RAUM · unset to 173199235.0Mar 10, 2026 to Jun 5, 2026
- Individual RAUM · unset to 98578199.0Mar 10, 2026 to Jun 5, 2026
- RAUM · $0 to $272MMar 10, 2026 to Jun 5, 2026
Signals
1 dated events
- 3 advisors left E•••• S••••••••• L•• (Saratoga Springs, NY) for T••••••• W••••• S•••••••• within 3 daysMar 17, 2026 · Team lift-out · derived
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
- 518-583-4800reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 518-583-4805reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-583-4800reportedpublic record, Form ADV, Jun 5, 2026
- Contact form
- t•••••••••.comreportedpublished 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
- $67.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026