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

Leigh Baldwin & Co., LLC

Independent wealth managerCazenovia, New YorkCRD 38751SEC 801-69290websiteIAPD
Latest filing May 19, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Jun 24, 2008
RAUM
$291M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$263M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$17.1M
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$291M as of May 19, 2026
Mar 30, 2012$5.7M then
HNW client RAUM$139M as of May 19, 2026
Mar 30, 2018$6.5M then
State-registered IARs (5.B.3)15 as of May 19, 2026
Mar 30, 20120 then
Employees (5.A)16 as of May 19, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +1.8% over the last fiscal year+17% a year over threeIARs 17 to 15offices 9 to 8
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$16.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$294,756derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
2.0derived9 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
-12%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.1%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
  • High-net-worth individuals$139M48%
  • Individuals$124M43%
  • Charitable organizations$22.0M7.6%
  • Corporations and businesses$3.0M1.0%
  • Pension and profit-sharing plans$2.9M1.0%
Individual clients
608reported
HNW clients
68reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
986reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=true related_bank=false bd_reps=16.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Nicholas John ColarossiClarks Summit, PaMar 16, 201833 y0
Michael Alvin WoltmanCazenovia, NyJan 5, 202136 y0
Peter Gerard CarchediCazenovia, Ny Jan 6, 202129 y0
Alan Christopher BaldwinManlius, Ny Jan 8, 202110 y2
Mary Stuart SwanManlius, NyJan 15, 202110 y3
William Alton DollyCazenovia, NyFeb 23, 202131 y0
Amy Ward JonesCazenovia, Ny Feb 23, 202128 y0
Linda Joan McanellyLiverpool, NyApr 3, 202138 y0
Leigh Douglas BaldwinBuda, Tx Apr 3, 202137 y0
Jill Ann BassettLiverpool, NyApr 6, 202111 y0
Charles Francis SovikCazenovia, NySep 14, 202136 y0
Daniel Alfred ParkinCazenovia, Ny Jul 13, 202240 y1
Danielle Ashley LawrenceUtica, NyMay 28, 202410 y0
Erich FradenburgCazenovia, NyJul 23, 202514 y4
Robert Daniel PerkinsRochester, Ny Mar 27, 202615 y2
Michael Anthony DouglassWolcott, NyMar 27, 202625 y1
Alicia TestaniCazenovia, NySep 3, 202614 y0
Matthew Douglas ChaffeeNorwich, NySep 14, 202635 y0
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 12% of current headcount3 left over 36 months
Left, latest
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
    • Leigh Douglas Baldwin · President / Owner / Managing Member/ Cfocontrol
      since 02/1995 · owns 75% or more
    • Stefanie Lee Dorozynski · Chief Compliance Officercontrol
      since 03/2020 · owns less than 5%
    • Leigh Douglas Baldwin · Ownercontrol
      since 01/2003 · owns 75% or more of Leigh Baldwin & Co., Inc.
    Entity owners
    • Leigh Baldwin & Co., Inc. · Owner
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cazenovia, Ny · principal1010
    Liverpool, Ny200
    Manlius, Ny200
    Murphy, Nc001
    Stanhope, Nj000
    Syracuse, Ny001
    Offices
    Schedule D 1.F, the 25 largest
    • Liverpool, NY2 employees
    • Cazenovia, NY1 employees
    • Syracuse, NY1 employees
    • Manlius, NY1 employees
    • Stanhope, NJ1 employees
    • Syracuse, NY1 employees
    • Blossvale, NY1 employees
    • Clarks Summit, PA1 employees
    • Fayetteville, NY1 employees
    • Utica, NY1 employees
    • Moravia, NY1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • large related person networkStatic outlier · filing May 19, 2026
      related persons on Schedule D 7.A of 24.0 against a peer median of 4.0 (203 comparable advisers, 99.0th percentile, 13.5 robust deviations)
      peers: independent wealth managers, $100M to $500M (203) · 99% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 756 to 986
      Mar 31, 2025 to Mar 31, 2026
    • Advisory employees · 18 to 16
      Mar 31, 2025 to Mar 31, 2026
    • Advisory activities · 3 to 4
      Mar 31, 2025 to Mar 31, 2026
    • BD registered reps · 18 to 16
      Mar 31, 2025 to Mar 31, 2026
    • Charity clients · 5.0 to unset
      Mar 31, 2025 to Mar 31, 2026
    • HNW clients · 54 to 68
      Mar 31, 2025 to Mar 31, 2026
    • Individual clients · 690 to 608
      Mar 31, 2025 to Mar 31, 2026
    • Employees · 18 to 16
      Mar 31, 2025 to Mar 31, 2026
    • State-registered IARs · 17 to 15
      Mar 31, 2025 to Mar 31, 2026
    • Other offices · 9 to 8
      Mar 31, 2025 to Mar 31, 2026
    • Discretionary RAUM · $286M to $291M
      Mar 31, 2025 to Mar 31, 2026
    • HNW RAUM · $126M to $139M
      Mar 31, 2025 to Mar 31, 2026
    • Individual RAUM · $134M to $124M
      Mar 31, 2025 to Mar 31, 2026
    • Pension RAUM · $2.4M to $2.9M
      Mar 31, 2025 to Mar 31, 2026
    • RAUM · $286M to $291M
      Mar 31, 2025 to Mar 31, 2026
    • Accounts · 957 to 756
      Mar 29, 2024 to Mar 31, 2025
    • Charity clients · unset to 5.0
      Mar 29, 2024 to Mar 31, 2025
    • Corporate clients · 5 to 6
      Mar 29, 2024 to Mar 31, 2025
    • HNW clients · 57 to 54
      Mar 29, 2024 to Mar 31, 2025
    • Individual clients · 631 to 690
      Mar 29, 2024 to Mar 31, 2025
    • Financial planning clients · 0 to 0
      Mar 29, 2024 to Mar 31, 2025
    • State-registered IARs · 16 to 17
      Mar 29, 2024 to Mar 31, 2025
    • Other offices · 11 to 9
      Mar 29, 2024 to Mar 31, 2025
    • Discretionary RAUM · $232M to $286M
      Mar 29, 2024 to Mar 31, 2025
    • HNW RAUM · $101M to $126M
      Mar 29, 2024 to Mar 31, 2025
    • Individual RAUM · $107M to $134M
      Mar 29, 2024 to Mar 31, 2025
    • Pension RAUM · $2.0M to $2.4M
      Mar 29, 2024 to Mar 31, 2025
    • RAUM · $232M to $286M
      Mar 29, 2024 to Mar 31, 2025
    • Accounts · 642 to 957
      Apr 28, 2023 to Mar 29, 2024
    • Advisory employees · 20 to 18
      Apr 28, 2023 to Mar 29, 2024
    • BD registered reps · 20 to 18
      Apr 28, 2023 to Mar 29, 2024
    • Charity clients · 4.0 to unset
      Apr 28, 2023 to Mar 29, 2024
    • Corporate clients · 4 to 5
      Apr 28, 2023 to Mar 29, 2024
    • HNW clients · 38 to 57
      Apr 28, 2023 to Mar 29, 2024
    • Individual clients · 589 to 631
      Apr 28, 2023 to Mar 29, 2024
    • Pension plan clients · 7.0 to unset
      Apr 28, 2023 to Mar 29, 2024
    • Employees · 21 to 18
      Apr 28, 2023 to Mar 29, 2024
    • State-registered IARs · 19 to 16
      Apr 28, 2023 to Mar 29, 2024
    • Other offices · 14 to 11
      Apr 28, 2023 to Mar 29, 2024
    • Discretionary RAUM · $180M to $232M
      Apr 28, 2023 to Mar 29, 2024
    Signals
    10 dated events
    • Matthew Douglas Chaffee registered as an investment adviser representative at Leigh Baldwin & Co., Llc
      Sep 14, 2026 · Advisor registered · fact
    • Daniel Patrick Duffy left Leigh Baldwin & Co., Llc for Lpl Enterprise, Llc (registered 2026-04-23)
      May 5, 2026 · Advisor changed firm · fact
    • 2 advisors left Fsp Advisors, Inc. (Rochester, NY) for Leigh Baldwin & CO., LLC on the same day
      Mar 30, 2026 · Team lift-out · derived
    • Melissa Norwicke left Leigh Baldwin & Co., Llc for Lpl Financial Llc (registered 2025-10-06)
      Oct 16, 2025 · Advisor changed firm · fact
    • Melinda B Gaertner left Leigh Baldwin & Co., Llc for Commonwealth Financial Network (registered 2025-07-24)
      Jun 2, 2025 · Advisor changed firm · fact
    • Jerry Bruno left Leigh Baldwin & Co., Llc for Gwn Securities Inc. (registered 2023-08-18)
      Aug 21, 2023 · Advisor changed firm · fact
    • Sam Angelo Curmaci left Leigh Baldwin & Co., Llc for Sac Investment Management Llc (registered 2022-12-01)
      Jan 10, 2023 · Advisor changed firm · fact
    • Leigh Baldwin & Co., Llc reported 13 offices beyond its principal office, up from 7 (2021-09-10 to 2022-03-31)
      Mar 31, 2022 · Office count change · derived
    • Sharon Risley Halligan (Financial Operations Principal) no longer on Schedule A of Leigh Baldwin & Co., Llc (listed 2020-06-25, absent 2021-03-23)
      Mar 23, 2021 · Control person left · inference
    • Stefanie Lee Dorozynski (Chief Compliance Officer) appeared on Schedule A of Leigh Baldwin & Co., Llc
      Jun 25, 2020 · Control person joined · 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 phone
    315-655-2964reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    315-734-1410reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    315-573-3198reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/leigh-baldwin-coreportedpublic record, Form ADV, Sep 18, 2026
    Website
    leighbaldwinadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    315-655-2964reportedpublic record, Form ADV, May 19, 2026
    Contact form
    leighbaldwinadvisory.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    leighbaldwinadvisory.com/about/our-teamreportedpublished 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
    $17.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026