Judson W. Ames

DARK HORSE WEALTH LLC

Cazenovia, NY 13035

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CRD#: 5953260

Professional summary

Judson William Ames, who also goes by Judson Ames, is a registered financial advisor currently at DARK HORSE WEALTH LLC located in Cazenovia, New York.

Judson is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Judson has worked at 2 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Judson Ames

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) REFEREE - 8/2013 TO PRESENT. NOT INVESTMENT RELATED. SPEND 6 HRS/WEEK ON THIS ACTIVITY ONLY DURING THE MONTHS OF SEPTEMBER AND OCTOBER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Judson William Ames's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 26, 2021 - Present

DARK HORSE WEALTH LLC

Office #1: 51 Albany St 2nd Fl, Cazenovia, NY 13035

RIA

CRD#: 159999

Cazenovia, NY

Past

August 17, 2011 - December 20, 2011

1ST DISCOUNT BROKERAGE, INC.

RIA

CRD#: 39164

CAZENOVIA, NY

Past

August 1, 2011 - December 20, 2011

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

CAZENOVIA, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DARK HORSE WEALTH LLC

DARK HORSE WEALTH | DARK HORSE WEALTH LLC

CRD#: 159999 / SEC#: 801-132392

RIA

Registered Investment Advisory firm - (4/10/2025 Approved)

New York

Registered Investment Advisory firm - (5/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/27/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(10/26/2021)

IAR

Texas
(1/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/16/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/29/2011

General Securities Representative Examination

Current Firm

DARK HORSE WEALTH LLC

DARK HORSE WEALTH | DARK HORSE WEALTH LLC

CRD#: 159999 / SEC#: 801-132392

RIA

Registered Investment Advisory firm - (4/10/2025 Approved)

New York

Registered Investment Advisory firm - (5/27/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/27/2025 Terminated)

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Contact information

Main Address

51 Albany St 2nd Fl, Cazenovia, NY 13035

Mailing Address

Phone number

(315) 559-2834

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DARK HORSE WEALTH LLC ADV PART 2A+2B (7/30/2025)

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 29,375,567

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Judson W. Ames

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Judson William Ames's CRS (Customer Relationship Summary).

Certified licenses

Experience

1ST DISCOUNT BROKERAGE, INC.

1ST DISCOUNT BROKERAGE, INC.

Primary Firm SEC Registration

DARK HORSE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2021

Series 66

Date: 8/16/2011

Series 63

Date: 5/21/2007

Series 7

Date: 7/29/2011

Current Firm

DARK HORSE WEALTH LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DARK HORSE WEALTH LLC

TRUST BUT VERIFY

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