Adviser Profile

As of Date 03/18/2026
Registration SEC, Approved, 05/06/2009
ADV Location SARATOGA SPRINGS, NY, United States
Contact Info (51 xxxxxxx
Websites
AUM* 422,313,266 43%
of that, discretionary 422,313,266 43%
Number of Employees 4 33%
of those in investment advisory functions 3
Private Fund GAV* 0
Avg Account Size 932,259 14%
% High Net Worth 41.61% -3%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

422M 362M 302M 241M 181M 121M 60M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

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Top Holdings

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Stck Ticker464287200 Stock NameISHARES TR $ Position$26,370,750 % Position7.00% $ Change23.00% # Change7.00%
Stck Ticker67072T108 Stock NameNUVEEN FLOATING RATE INCOME $ Position$26,674,684 % Position7.00% $ Change14.00% # Change11.00%
Stck Ticker02079K305 Stock NameALPHABET INC $ Position$17,254,696 % Position5.00% $ Change24.00% # Change-1.00%
Stck Ticker023135106 Stock NameAMAZON COM INC $ Position$13,034,023 % Position4.00% $ Change16.00% # Change2.00%
Stck Ticker46434V878 Stock NameISHARES TR $ Position$13,486,920 % Position4.00% $ Change-2.00% # Change-2.00%
Stck Ticker46138G649 Stock NameINVESCO EXCH TRADED FD TR II $ Position$14,290,267 % Position4.00% $ Change47.00% # Change15.00%
Stck Ticker92838X805 Stock NameVIRTUS CONVERTIBLE & INCOME $ Position$14,301,359 % Position4.00% $ Change20.00% # Change1.00%
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Stck Ticker037833100 Stock NameAPPLE INC $ Position$10,572,099 % Position3.00% $ Change16.00% # Change2.00%
Stck Ticker02079K107 Stock NameALPHABET INC $ Position$5,896,758 % Position2.00% $ Change26.00% # Change3.00%

Brochure Summary