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

U•••••• A••••••• I••

Wealth manager with institutional or fund businessPittsford, New YorkCRD 341449SEC 801-135922websiteIAPD
Legal name U•••••• A••••••• I•••
Latest filing Jul 21, 2026
First filing on the tape Apr 7, 2026 · 2 filings
SEC status approved since Apr 21, 2026
RAUM
$34.1M
reported, Item 5.F
Discretionary
46%
of RAUM
Private clients
46%
$15.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$34.1M
derived; firm RAUM over IAPD count
Employees
1
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$34.1M as of Jul 21, 2026
Apr 7, 2026$0 then
HNW client RAUM: $11.4M
State-registered IARs (5.B.3)1 as of Jul 21, 2026
Apr 7, 20261 then
Employees (5.A)1 as of Jul 21, 2026
Apr 7, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
13derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$873,170derivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • Pension and profit-sharing plans$18.3M54%
  • High-net-worth individuals$11.4M33%
  • Individuals$4.4M13%
Individual clients
7reported
HNW clients
6reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
39reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.46 fund_share=0.0 institutional_share=0.54 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•• A•• R•••Pittsford, NyJun 5, 202627 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    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.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 39
      Apr 7, 2026 to Jul 21, 2026
    • HNW clients · unset to 6.0
      Apr 7, 2026 to Jul 21, 2026
    • Individual clients · unset to 7.0
      Apr 7, 2026 to Jul 21, 2026
    • Pension plan clients · unset to 8.0
      Apr 7, 2026 to Jul 21, 2026
    • Financial planning clients · 0 to 1-10
      Apr 7, 2026 to Jul 21, 2026
    • Discretionary RAUM · $0 to $15.7M
      Apr 7, 2026 to Jul 21, 2026
    • HNW RAUM · unset to 11390306.0
      Apr 7, 2026 to Jul 21, 2026
    • Individual RAUM · unset to 4353324.0
      Apr 7, 2026 to Jul 21, 2026
    • Non-discretionary RAUM · $0 to $18.3M
      Apr 7, 2026 to Jul 21, 2026
    • Pension RAUM · unset to 18310000.0
      Apr 7, 2026 to Jul 21, 2026
    • RAUM · $0 to $34.1M
      Apr 7, 2026 to Jul 21, 2026
    Signals
    No event on the tape.
    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
    585-209-9788reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/upstate-advisers-inc/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
    Website
    upstateadvisers.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    5852099788reportedpublic record, Form ADV, Jul 21, 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
    Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $34.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026