DFX Intelligence

A•••• P••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A•••• P••••••• I•••

CRD 166779

BUFFALO, NY

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Search this name across graphsid dfx:ria:3666a22e-00fd-f3e6-7dbd-54a177035b6b

Data as of Mar 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2013 to Mar 27, 2017
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.0M••• Locked
Discretionary RAUM: $9.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• J•••••• B•••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	03/2014	Mar 13, 2013	Mar 27, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 27, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$9.0M	$51.0M	-82.4%	$35.0M	-36.5%	2	3	n/a	n/a

Relationships

Controls (1)

← B•••• J•••••• B•••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 13, 2013 to presentfactForm ADV

Dated events

Occurred
Feb 6, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3666a22e-00fd-f3e6-7dbd-54a177035b6b
First observed: Feb 6, 2013
Last observed: Mar 27, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.