ADIRONDACK FINANCIAL SERVICES CORP
Adviser information for ADIRONDACK FINANCIAL SERVICES CORP last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 843 | $337.3M |
| Non-Discretionary | 10 | $39.4M |
| Total | 853 | $376.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 410 | $54.0M |
| HNW Individuals | 139 | $231.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 7 | $40.2M |
| Charitable organizations | 28 | $36.4M |
| State or municipal gov entities | <5 | $1.8M |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $4.6M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 13 | $8.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-64779 |
|---|---|
| SEC ERA File Number | 801-64779 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126155 |
| Legal Entity Identifier | None |
Principal Office
185 GENESEE STREETSUITE 210
UTICA
NY
United States
Monday - Friday, 8:00 A.M. - 4:30 P.M.
Tel: 315-724-4186, Fax: (315) 792-9661
Chief Compliance Officer
PATRICA M. RUGARI
CHIEF OPERATING OFFICER, CFO & CCO
185 GENESEE STREET
SUITE 210
UTICA
NY
United States
Tel:
(315) 624-2624
Fax:
(315) 792-9661
P******@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLARK, HAROLD, THOMAS | Individual | – | BOARD CHAIRMAN | 01/2000 | > 75% |
| LOCKE, WILLIAM, FOX | Individual | – | CEO | 09/2007 | < 5% |
| RUGARI, PATRICIA, MARIE | Individual | – | COO, CFO & CCO | 10/2007 | < 5% |
| CLARK, JOHN, J | Individual | – | CHIEF INVESTMENT OFFICER | 11/2011 | < 5% |