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

Ibn Financial Services, Inc

Independent wealth managerLiverpool, New YorkCRD 42360SEC 801-111848websiteIAPD
Legal name Ibn Financial Services, Inc.
Latest filing Aug 27, 2026
First filing on the tape Sep 13, 2017 · 38 filings
SEC status approved since Oct 12, 2017
RAUM
$87.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$74.5M individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$4.6M
derived; firm RAUM over IAPD count
Employees
52
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$87.7M as of Aug 27, 2026
Apr 2, 2018$62.7M then
HNW client RAUM$17.5M as of Aug 27, 2026
Apr 2, 2018$4.3M then
State-registered IARs (5.B.3)11 as of Aug 27, 2026
Apr 2, 20186 then
Employees (5.A)52 as of Aug 27, 2026
Apr 2, 20187 then
Private funds: no history
RAUM -51% over the last fiscal year-14% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Aug 27, 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)
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$4.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$438,266derivedHNW RAUM over HNW clients
Average account
$168,889derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-51%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-32%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • Individuals$57.0M65%
  • High-net-worth individuals$17.5M20%
  • Pension and profit-sharing plans$6.1M7.0%
  • Corporations and businesses$4.4M5.0%
  • Charitable organizations$2.6M3.0%
Individual clients
457reported
HNW clients
40reported
Pension plan clients
10reported
Charitable clients
6reported
Accounts
519reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.85 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=52.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Daniel Joseph RipleySpokane, Wa Oct 12, 201735 y7
Bart Steven KaplowChartered Financial ConsultantLiverpool, Ny Oct 16, 201757 y1
Robert DagostaChartered Financial ConsultantLiverpool, Ny Sep 5, 201942 y2
Richard James CarlescoLiverpool, NyNov 6, 202035 y1
Richard Lee StevensChartered Financial ConsultantBluffton, Sc Jul 15, 202141 y2
Norman Maurice CaffreyCicero, Ny Jul 16, 202137 y0
Robert Lawrence TackaburyLiverpool, Ny Jul 16, 202132 y0
Harjit Kaur AroraHutto, Tx Jul 16, 202128 y0
Christopher Ryan AveryLiverpool, NyJul 19, 202122 y1
Elliot SchragNew York, Ny Aug 26, 202118 y0
John Daniel FlavinLiverpool, Ny Jan 6, 202230 y2
Dean James MacrisLiverpool, Ny Jul 20, 202332 y3
John Brendan DobbertinLiverpool, Ny May 21, 202427 y1
Paul Richard HimmelsteinChartered Financial ConsultantLiverpool, Ny Jan 3, 202546 y7
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 16% of current headcount17 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
    • Richard James Jr Carlesco · Chief Executive Officer, Cheif Financial Officercontrol
      since 09/2002 · owns 50% to 75%
    • Christopher Ryan Avery · Chief Operations Officer
      since 10/2017 · owns 25% to 50%
    • Timothy Edward Evans · Chief Compliance Officer
      since 04/2015 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list Ibn Financial Services, Inc as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Liverpool, Ny · principal19121
    Salem, Ma100
    Elmira, Ny000
    Alexandria Bay, Ny000
    Windham, Nh001
    Endicott, Ny000
    Annapolis, Md000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • RAUM down advisors stableCombination · filing Apr 17, 2026
      RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $180,458,175 to $87,653,250, advisors 11 to 11, private clients 735 to 497, offices 0 to 0 (2025-03-21 to 2026-04-17)
      peers: independent wealth managers, under $100M (704)
    • employee count dropChange between filings · filing Apr 17, 2026
      employees (Item 5.A) moved from 79.0 to 52.0 (-34.0%) between the annual amendments of 2025-03-21 and 2026-04-17; the peer median change was 0.0% (57 comparable advisers, 9.0th percentile of changes)
      peers: independent wealth managers, under $100M (57) · 8.9% percentile
    • RAUM down 50 %Change between filings · filing Apr 17, 2026
      RAUM (Item 5.F) moved from $180,458,175 to $87,653,250 (-51.0%) between the annual amendments of 2025-03-21 and 2026-04-17; the peer median change was +8.0% (219 comparable advisers, 7.0th percentile of changes)
      peers: independent wealth managers, under $100M (219) · 6.9% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 768 to 519
      Mar 21, 2025 to Apr 17, 2026
    • Advisory employees · 16 to 15
      Mar 21, 2025 to Apr 17, 2026
    • BD registered reps · 76 to 52
      Mar 21, 2025 to Apr 17, 2026
    • Charity clients · 9 to 6
      Mar 21, 2025 to Apr 17, 2026
    • Corporate clients · 9 to 6
      Mar 21, 2025 to Apr 17, 2026
    • HNW clients · 59 to 40
      Mar 21, 2025 to Apr 17, 2026
    • Individual clients · 676 to 457
      Mar 21, 2025 to Apr 17, 2026
    • Pension plan clients · 15 to 10
      Mar 21, 2025 to Apr 17, 2026
    • Employees · 79 to 52
      Mar 21, 2025 to Apr 17, 2026
    • Discretionary RAUM · $180M to $87.7M
      Mar 21, 2025 to Apr 17, 2026
    • HNW RAUM · $36.1M to $17.5M
      Mar 21, 2025 to Apr 17, 2026
    • Individual RAUM · $117M to $57.0M
      Mar 21, 2025 to Apr 17, 2026
    • Pension RAUM · $12.6M to $6.1M
      Mar 21, 2025 to Apr 17, 2026
    • RAUM · $180M to $87.7M
      Mar 21, 2025 to Apr 17, 2026
    • Accounts · 830 to 768
      Mar 22, 2024 to Mar 21, 2025
    • Charity clients · 7 to 9
      Mar 22, 2024 to Mar 21, 2025
    • Corporate clients · 7 to 9
      Mar 22, 2024 to Mar 21, 2025
    • HNW clients · 20 to 59
      Mar 22, 2024 to Mar 21, 2025
    • Individual clients · 791 to 676
      Mar 22, 2024 to Mar 21, 2025
    • Pension plan clients · unset to 15.0
      Mar 22, 2024 to Mar 21, 2025
    • Financial planning clients · 0 to 0
      Mar 22, 2024 to Mar 21, 2025
    • Discretionary RAUM · $163M to $180M
      Mar 22, 2024 to Mar 21, 2025
    • HNW RAUM · $27.7M to $36.1M
      Mar 22, 2024 to Mar 21, 2025
    • Individual RAUM · $119M to $117M
      Mar 22, 2024 to Mar 21, 2025
    • Pension RAUM · unset to 12632072.0
      Mar 22, 2024 to Mar 21, 2025
    • RAUM · $163M to $180M
      Mar 22, 2024 to Mar 21, 2025
    • Accounts · 731 to 830
      Mar 31, 2023 to Mar 22, 2024
    • HNW clients · 56 to 20
      Mar 31, 2023 to Mar 22, 2024
    • Individual clients · 646 to 791
      Mar 31, 2023 to Mar 22, 2024
    • Pension plan clients · 15.0 to unset
      Mar 31, 2023 to Mar 22, 2024
    • Discretionary RAUM · $139M to $163M
      Mar 31, 2023 to Mar 22, 2024
    • HNW RAUM · $23.7M to $27.7M
      Mar 31, 2023 to Mar 22, 2024
    • Individual RAUM · $102M to $119M
      Mar 31, 2023 to Mar 22, 2024
    • Pension RAUM · 5988622.0 to unset
      Mar 31, 2023 to Mar 22, 2024
    • RAUM · $139M to $163M
      Mar 31, 2023 to Mar 22, 2024
    • Accounts · 744 to 731
      Mar 29, 2022 to Mar 31, 2023
    • Corporate clients · 8 to 7
      Mar 29, 2022 to Mar 31, 2023
    • HNW clients · 59 to 56
      Mar 29, 2022 to Mar 31, 2023
    • Individual clients · 655 to 646
      Mar 29, 2022 to Mar 31, 2023
    • Discretionary RAUM · $151M to $139M
      Mar 29, 2022 to Mar 31, 2023
    Signals
    22 dated events
    • Kyle Thomas Kadish left Ibn Financial Services, Inc for Revere Wealth Management Llc (registered 2026-03-04)
      Jan 21, 2026 · Advisor changed firm · fact
    • Mark Jonathan Mahshie left Ibn Financial Services, Inc for Mpm Advisors Group Llc (registered 2025-10-21)
      Dec 19, 2025 · Advisor changed firm · fact
    • 2 advisors left Ibn Financial Services, Inc (Liverpool, NY) for Mpm Advisors Group LLC on the same day
      Dec 19, 2025 · Team lift-out · derived
    • John Dallas Mahshie left Ibn Financial Services, Inc for Mpm Advisors Group Llc (registered 2025-10-21)
      Dec 19, 2025 · Advisor changed firm · fact
    • Anthony J Bates left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-07-30)
      Jun 26, 2025 · Advisor changed firm · fact
    • Scott Allen Curtis left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-06-05)
      Jun 26, 2025 · Advisor changed firm · fact
    • Steven George Yazell left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-05)
      Jun 24, 2025 · Advisor changed firm · fact
    • 4 advisors left Ibn Financial Services, Inc (Liverpool, NY) for Cambridge Investment Research Advisors, Inc. within 6 days
      Jun 20, 2025 · Team lift-out · derived
    • Mark B Levitch left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-06-16)
      Jun 20, 2025 · Advisor changed firm · fact
    • Loren Walter Wood left Ibn Financial Services, Inc for Vanderbilt Advisory Services (registered 2025-06-13)
      Jun 20, 2025 · Advisor changed firm · fact
    • Dennis Alan Belardinelli left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-06)
      Jun 4, 2025 · Advisor changed firm · fact
    • Howard Martin Modell left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-09)
      Jun 4, 2025 · Advisor changed firm · fact
    • Todd Howard Glenn left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-07)
      Jun 4, 2025 · Advisor changed firm · fact
    • Robert Mathew Moskwa left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-02)
      May 30, 2025 · Advisor changed firm · fact
    • Samuel Scott Bianchi left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-01)
      May 30, 2025 · Advisor changed firm · fact
    • Patrick Joseph Delaney left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-02)
      May 30, 2025 · Advisor changed firm · fact
    • 7 advisors left Ibn Financial Services, Inc (Liverpool, NY) for Cambridge Investment Research Advisors, Inc. within 5 days
      May 30, 2025 · Team lift-out · derived
    • Chad Erwin Colbert left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-05)
      May 30, 2025 · Advisor changed firm · fact
    • Jeffrey Mark Dunseath left Ibn Financial Services, Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-05-01)
      May 30, 2025 · Advisor changed firm · fact
    • Nancy Jean Libardoni left Ibn Financial Services, Inc for Lpl Enterprise, Llc (registered 2025-02-27)
      Jan 23, 2025 · Advisor changed firm · fact
    • Peter Scida left Ibn Financial Services, Inc for Ibn Advisory Services, Inc. (registered 2021-04-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • Ibn Financial Services, Inc filed its initial SEC registration (Form ADV)
      Sep 13, 2017 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Business email
    info@ibrokernet.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    315-652-1035reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    315-652-4426reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    877-492-9464reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    IBROKERNET.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    315-652-4426reportedpublic record, Form ADV, Aug 27, 2026
    Contact form
    ibrokernet.com/contactreportedpublished by the firm, firm site, Sep 16, 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
    $4.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026