Adviser Profile

As of Date 04/21/2026
Registration SEC, Approved, 04/16/2012
Other registrations (1)
ADV Location ALBANY, NY, United States
Contact Info 518 xxxxxxx
Websites
AUM* 760,100,086 37%
of that, discretionary 760,071,506 37%
Number of Employees 19 27%
of those in investment advisory functions 3 -25%
Private Fund GAV* 0
Avg Account Size 3,838,889 -2%
% High Net Worth 100.00%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers

Compensation Arrangments

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

Reported AUM

760M 651M 543M 434M 326M 217M 109M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name Filing Date Form ADV-E
Accounting Firm Name MENGEL, METZGER, BARR & CO. LLP Filing Date01/28/2026 Form ADV-E View Report
Accounting Firm Name MENGEL, METZGER, BARR & CO. LLP Filing Date02/28/2025 Form ADV-E View Report
Accounting Firm Name MMB & CO. Filing Date02/28/2024 Form ADV-E View Report

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Top Holdings

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Stck Ticker78462F103 Stock NameSTATE STR SPDR S&P 500 ETF T $ Position$30,054,162 % Position12.00% $ Change-5.00% # Change0.00%
Stck Ticker69370C100 Stock NamePTC INC $ Position$16,179,740 % Position7.00% $ Change-22.00% # Change-5.00%
Stck Ticker464287598 Stock NameISHARES TR $ Position$18,090,371 % Position7.00% $ Change-1.00% # Change-3.00%
Stck Ticker922908363 Stock NameVANGUARD INDEX FDS $ Position$15,554,824 % Position6.00% $ Change3.00% # Change8.00%
Stck Ticker78463V107 Stock NameSPDR GOLD TR $ Position$11,689,688 % Position5.00% $ Change-1.00% # Change-9.00%
Stck Ticker53656F623 Stock NameLISTED FDS TR $ Position$7,805,200 % Position3.00% $ Change9.00% # Change-7.00%
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Stck Ticker464287655 Stock NameISHARES TR $ Position$8,186,728 % Position3.00% $ Change1.00% # Change0.00%
Stck Ticker464287630 Stock NameISHARES TR $ Position$6,522,465 % Position3.00% $ Change4.00% # Change-1.00%

Brochure Summary