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Adirondack Financial Services Corp

Adirondack Financial Services Corp. CRD 126155

Adirondack Financial Services Corp logo

CRD: 126155

Adirondack Financial Services Corp

Utica, NY, 13501
3157244186
www.adkfinancialservices.com
$461.8M Total AUM
$417.0M Disc. AUM
9.2% 3Y CAGR
16 Employees
649 ADV. Clients
20 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company ยท Pershing
Clients
Retail and Institutional
Platforms
AlphaQuantum momentum
Established Date
10-03-2005
Office Locations
1

Office Locations

185 Genesee Street Suite 210 Utica NY

About Adirondack Financial Services Corp

Adirondack Financial Services Corp is an SEC-registered RIA in Utica, NY providing customized financial planning, retirement planning, and employee benefits solutions for individuals and organizations. Portfolios primarily use public funds and ETFs, complemented by cash and municipal bonds. Custody includes Charles Schwab and Pershing; broker-dealer services are through unaffiliated Hazard & Siegel.

Team overview

-- AVG AGE
$51.3M AVG AUM / ADVISOR
$711.5K AVG AUM / CLIENT
7.4 yrs AVG TENURE
16 Employees
9 Advisory Reps
2 RIA Reps
20yrs Firm Age

Insights

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Client Personas

Harbor Vertex value Optima meridian

Custodian

Glacier fusion Optima Frontier

Investment Themes

Optima prime Momentum North glacier

Investment Vehicles

Vital alpha

Services

Zenith momentum Vital Capital North matrix Delta Zenith atlas Legacy pioneer Meridian Quantum

Technology

Unison ridge Signal

Owner & Executives

W

WILLIAM FOX LOCKE

Chief Executive Officer, FSA, President

CRD
#1574382
Ownership
75% or more
(419) 478-1307
ember.insight@embercapital.com
in linkedin.com/in/vital-optima
J

JOHN J CLARK

Chief Investment Officer, Retirement Plan Advisor

CRD
#4344180
Ownership
Less than 5%
(371) 498-9794
optima.frontier@atlascapital.com
in linkedin.com/in/prime-matrix
U

Unison ridge

Element quantum capital

CRD
#80547
Ownership
48.4%
(928) 413-1717
meridian.unison@wavecapital.com
in linkedin.com/in/foundation-fusion

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Contacts

F

FRANCES J PARENT

--

CRD
#2191132
(387) 967-2907
catalyst.legacy@unisoncapital.com
in linkedin.com/in/vector-fusion

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
07-01-2022
03-31-2023
03-28-2024
03-31-2025
05-22-2026
Category Assets AVG. Account size
Discretionary $417,027,089 $493,523
Non-Discretionary $44,767,765 $7,461,294
Total $461,794,854 $542,650

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Separately Managed Accounts

Total SMA Asset: $461,794,854

$461.8M Total SMA
Equity - Exchange:
24.2%
Public Funds:
9.1%
Cash:
27.9%
U.S. Government/Agency:
16.2%
Municipal Bonds:
22.6%
Asset class Assets Assets %
Equity - Exchange $223,577,120 24.2%
Public Funds $84,072,388 9.1%
Cash $257,760,399 27.9%
U.S. Government/Agency $149,667,328 16.2%
Municipal Bonds $208,795,163 22.6%
Total $923,872,398 100.0%

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