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

Blue Horizon Equity, Inc.

Independent wealth managerPittsford, New YorkCRD 341095SEC 801-136098websiteIAPD
Latest filing Sep 15, 2026
First filing on the tape May 5, 2026 · 4 filings
SEC status 120-day approval since May 6, 2026
RAUM
$746M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$737M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
45
45 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Jun 1, 2026
May 5, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)45 as of Jun 1, 2026
May 5, 202645 then
Employees (5.A)45 as of Jun 1, 2026
May 5, 202645 then
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$35.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
70derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$372,597derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
2.6derived8 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 individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$709MreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$517M69%
  • High-net-worth individuals$220M29%
  • Corporations and businesses$7.9M1.1%
  • Charitable organizations$935,7900.1%
Individual clients
1,422reported
HNW clients
56reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,002reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=45.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Robert Joseph St. GeorgePittsford, NyMay 22, 202633 y3
Richard Thomas CollinsRichmond, Va May 22, 202622 y3
Thomas Robert BeamPittsford, NyMay 26, 202632 y3
Stuart ImpeyPonte Vedra Beach, Fl May 28, 202623 y5
Daniel Joseph AbelPittsford, Ny May 28, 202623 y6
Jeffrey Cohen HartmanPittsford, Ny May 28, 202628 y4
Kevin Harold DempseyPittsford, NyMay 28, 202634 y2
Granville Joseph KnowlesTallahassee, Fl May 29, 202623 y3
Reagan David WrightPonte Vedra, Fl May 29, 202612 y2
Brian David WrightPittsford, Ny Jun 3, 202624 y3
Paul Murdock GreenOrlando, Fl Jun 3, 202626 y3
Thomas K QueriChartered Financial ConsultantPittsford, Ny Jun 18, 202631 y5
Christopher Michael BryanPittsford, Ny Jun 24, 202630 y3
Janice Marguerite CobbPittsford, Ny Jun 24, 202629 y3
Russell R WingatePonte Vedra Beach, Fl Jun 24, 202629 y3
Robert Louis SansonePittsford, NyJun 25, 202612 y2
Scot Arthur RegnerPonte Vedra, Fl Jun 30, 202645 y3
Tricia LillerPittsford, Ny Jul 1, 202625 y5
Ernest Fulton CaveCertified Financial PlannerSarasota, Fl Jul 1, 202620 y4
Olivia Katherine QueriPittsford, NyJul 27, 202610 y0
Advisor movement
0 left, 19 joined in 12 months
net +19 in 12 months0 left in 90 days7 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
      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
      OfficeAdvisorsJoinedLeftTeams outForming
      Pittsford, Ny · principal21210
      Ponte Vedra Beach, Fl770
      Ponte Vedra, Fl220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 2,002
        Jun 1, 2026 to Sep 3, 2026
      • Corporate clients · unset to 13.0
        Jun 1, 2026 to Sep 3, 2026
      • HNW clients · unset to 56.0
        Jun 1, 2026 to Sep 3, 2026
      • Individual clients · unset to 1422.0
        Jun 1, 2026 to Sep 3, 2026
      • Financial planning clients · 0 to 1-10
        Jun 1, 2026 to Sep 3, 2026
      • Discretionary RAUM · $0 to $746M
        Jun 1, 2026 to Sep 3, 2026
      • HNW RAUM · unset to 219953987.0
        Jun 1, 2026 to Sep 3, 2026
      • Individual RAUM · unset to 517185468.0
        Jun 1, 2026 to Sep 3, 2026
      • Non-discretionary RAUM · $0 to $35,203
        Jun 1, 2026 to Sep 3, 2026
      • RAUM · $0 to $746M
        Jun 1, 2026 to Sep 3, 2026
      • Related adviser · false to true
        Jun 1, 2026 to Sep 3, 2026
      • Succession · false to unset
        Jun 1, 2026 to Sep 3, 2026
      • Other offices · 22 to 7
        May 5, 2026 to Jun 1, 2026
      Signals
      6 dated events
      • 3 advisors left Osaic Wealth, Inc. (Ponte Vedra Beach, FL) for Blue Horizon Equity, Inc. within 6 days
        Jun 25, 2026 · Team lift-out · derived
      • 3 advisors left Osaic Wealth, Inc. (Scottsdale, AZ) for Blue Horizon Equity, Inc. within 7 days
        Jun 24, 2026 · Team lift-out · derived
      • Blue Horizon Equity, Inc. reported 7 offices beyond its principal office, down from 22 (2026-05-05 to 2026-06-01)
        Jun 1, 2026 · Office count change · derived
      • 3 advisors left Osaic Wealth, Inc. (Pittsford, NY) for Blue Horizon Equity, Inc. on the same day
        May 21, 2026 · Team lift-out · derived
      • 6 advisors left Osaic Wealth, Inc. (Ponte Vedra Beach, FL) for Blue Horizon Equity, Inc. a day apart
        May 21, 2026 · Team lift-out · derived
      • 3 advisors left Osaic Wealth, Inc. (Scottsdale, AZ) for Blue Horizon Equity, Inc. on the same day
        May 21, 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
      Website
      nassauwm.comreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      1 585 641 7900reportedpublic record, Form ADV, 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
      $35.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026