DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••••• W••••• A•••••••• I•••

CRD 3618

BUFFALO, NY

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Search this name across graphsid dfx:ria:6ed39af5-29c2-f5d0-95a4-51d20fc338f2

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Mar 17, 2026
40 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: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=16.0
Regulatory AUM: $911M••• Locked
Discretionary RAUM: $792M
Private client RAUM: $835Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $70.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• R•••••• T•••	Certified Financial Planner	BUFFALO, NY	11	44	n/a	yes
J••• D•••• S••••	Certified Financial Planner\|Chartered Financial Analyst	BUFFALO, NY	7	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••••• A••••	VICE PRESIDENT, SROP, CROP	A	yes	12/1991	Mar 30, 2012	Mar 27, 2024
G•••• C•••••• E•••••	VICE PRESIDENT	B	yes	04/2009	Feb 29, 2016	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$911M	$724M	25.9%	$537M	19.3%	17	17	0	0

Relationships

Registered with (14)

← J••• M•••••• M••••••Advisorregistration: current employment
Jul 12, 2023 to presentfactForm ADV
← N••••••• A•••••••• I•••••Advisorregistration: current employment
Apr 8, 2021 to presentfactForm ADV
← T••••• G••••• V••••••Advisorregistration: current employment
Mar 25, 2021 to presentfactForm ADV
← M•••••• F••••• S•••••

Dated events

Occurred
Mar 17, 2026
Regulatory AUM changed
T••••• W••••• A•••••••• I••• reported RAUM $911.5M, up 26% from $724.2M (2025-08-01 to 2026-03-17)
Form ADVobserved 7 days ago
$187M
Occurred
Mar 30, 2023
Control person left
Anthony Frank Frandina (Vice President / Secretary - Treasurer) no longer on Schedule A of T••••• W••••• A•••••••• I••• (listed 2023-01-03, absent 2023-03-30)
Form ADVobserved 7 days ago
Occurred
Nov 15, 2022
Advisor changed firm
Nicole Teluk Smykowski left T••••• W••••• A•••••••• I••• for Hsbc Securities (Usa) Inc. (registered 2022-11-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ed39af5-29c2-f5d0-95a4-51d20fc338f2
First observed: Mar 30, 2012
Last observed: Mar 17, 2026 6 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.