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CRD 110641
EAST AMHERST, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| R•••••• M•••• B•••••• | Certified Financial Planner | EAST AMHERST, NY | 12 | 39 | n/a | no |
| S••••• M••• E••••• | Certified Financial Planner | EAST AMHERST, NY | 11 | 19 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• R••••••• M•••• | President | D | yes | 07/2008 | Sep 3, 2026 | Sep 3, 2026 |
| E•••••• S•••••• M••• | CHIEF INVESTMENT OFFICER | C | yes | 01/2019 | Sep 3, 2026 | Sep 3, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Hamburg | NY | United States | 6 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $975M | $684M | 42.5% | $530M | 22.6% | 16 | 15 | 5 | 1 |
| no |
| M•••••• C•••••• A•••••••• | Certified Financial Planner | EAST AMHERST, NY | Buffalo, NY | 6 | 30 | n/a | no |
| E•••• F•• M••••• | Certified Financial Planner | EAST AMHERST, NY | 5 | 14 | n/a | no |
| W•••••• G••••• J•••• | Certified Financial Planner|Chartered Financial Consultant | Wellsville, NY | EAST AMHERST, NY | 5 | 45 | 2 | no |
| A••••• N••••• B••••••• | Certified Financial Planner | EAST AMHERST, NY | 3 | 14 | n/a | no |
| L•••• J••• M•••••• | Certified Financial Planner | EAST AMHERST, NY | 1 | 11 | n/a | no |
| E••• D•••• L••••• | Certified Financial Planner | Hemet, CA | 1 | 19 | 3 | no |
| CHIEF OPERATING OFFICER |
| A |
| yes |
| 03/2015 |
| Sep 3, 2026 |
| Sep 3, 2026 |
| M•••••• E••••• F•• | DIRECTOR OF CLIENT SERVICES | Na | yes | 01/2023 | Sep 3, 2026 | Sep 3, 2026 |
| W•••••• B••••••• M•• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2024 | Sep 3, 2026 | Sep 3, 2026 |
| Mar 23, 2026 |
| $863M |
| $838M |
| 15 |
| 9 |
| 4 |
| n/a |
| n/a |
| 2024 | Apr 10, 2025 | $684M | $684M | 15 | 8 | 1 | n/a | n/a |
| 2023 | Mar 12, 2024 | $621M | $621M | 14 | 8 | 1 | n/a | n/a |
| 2022 | Mar 20, 2023 | $530M | $530M | 14 | 8 | 2 | n/a | n/a |
| 2021 | Mar 24, 2022 | $545M | $545M | 14 | 8 | 2 | n/a | n/a |
| 2020 | Mar 15, 2021 | $501M | $501M | 15 | 8 | 2 | n/a | n/a |
| 2019 | Mar 15, 2020 | $410M | $410M | 14 | 8 | 2 | n/a | n/a |
| 2018 | Mar 18, 2019 | $394M | $394M | 13 | 8 | 2 | n/a | n/a |
| 2017 | Mar 27, 2018 | $360M | $360M | 13 | 7 | 2 | n/a | n/a |
| 2016 | Mar 27, 2017 | $307M | $307M | 13 | 7 | n/a | n/a | n/a |
| 2015 | Mar 11, 2016 | $261M | $261M | 11 | 6 | n/a | n/a | n/a |
| 2014 | Mar 24, 2015 | $272M | $272M | 11 | 6 | n/a | n/a | n/a |
| 2013 | Mar 14, 2014 | $274M | $274M | 10 | 6 | n/a | n/a | n/a |
| 2012 | Mar 15, 2013 | $239M | $239M | 10 | 6 | n/a | n/a | n/a |
| 2011 | Mar 26, 2012 | $224M | $222M | n/a | n/a | n/a | n/a | n/a |