DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••• F•••• A•••••••• I•••

CRD 108678

ROCHESTER, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:730e2b1c-a187-b3e6-c5dd-569b1210790b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
20 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $695MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $686M
Private client RAUM: $685MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• J• M•••••••	n/a	ROCHESTER, NY \| FOLSOM, CA	12	25	2	no
J•••• T••••• E••••••	Certified Financial Planner	ROCHESTER, NY \| FOLSOM, CA	5	34

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• K••••••• J•••••	PRESIDENT/CHIEF EXECUTIVE OFFICER	D	yes	01/2020	Mar 30, 2015	Mar 28, 2024
V•••••• J•••••••• E••••••	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	01/2020	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••••••• E•••••• V•••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$695M	$607M	14.4%	$451M	15.5%	17	18	0	0

Relationships

Affiliated with (1)

← LEIGH BALDWIN & CO., LLCRegistered adviserother investment adviser
factForm ADV

Registered with (16)

← J••• G•••••• K•••Advisorregistration: current employment
May 4, 2026 to presentfactForm ADV
← S••••• L•••Advisorregistration: current employment
May 30, 2025 to presentfactForm ADV
← R••••• S•••••• G••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 2, 2023
Advisor changed firm
George D Marron left H••• F•••• A•••••••• I••• for High Probability Advisors, Llc (registered 2023-04-20)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Control person left
T••••• J•••• E•••••• (Chief Executive Officer) no longer on Schedule A of H••• F•••• A•••••••• I••• (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 7 days ago
Occurred
Apr 1, 2013
Succession filed (Item 4)
H••• F•••• A•••••••, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:730e2b1c-a187-b3e6-c5dd-569b1210790b
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 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.

2025	Mar 31, 2026	$695M	$686M	17	7	0	n/a	n/a
2024	Mar 31, 2025	$607M	$599M	18	7	0	n/a	n/a
2023	Mar 28, 2024	$521M	$521M	17	11	0	n/a	n/a
2022	Mar 29, 2023	$451M	$451M	17	11	0	n/a	n/a
2021	Mar 31, 2022	$534M	$534M	17	11	0	n/a	n/a
2020	Mar 31, 2021	$473M	$473M	15	10	0	n/a	n/a
2019	Mar 31, 2020	$456M	$456M	14	8	0	n/a	n/a
2018	Mar 31, 2019	$392M	$392M	14	8	0	n/a	n/a
2017	Mar 31, 2018	$456M	$456M	17	10	0	n/a	n/a
2016	Mar 30, 2017	$424M	$424M	17	10	n/a	n/a	n/a
2015	Mar 30, 2016	$542M	$542M	18	11	n/a	n/a	n/a
2014	Mar 30, 2015	$590M	$590M	19	11	n/a	n/a	n/a
2013	Mar 29, 2014	$565M	$565M	15	8	n/a	n/a	n/a
2012	Apr 1, 2013	$532M	$532M	15	10	n/a	n/a	n/a
2011	Mar 30, 2012	$425M	$425M	n/a	n/a	n/a	n/a	n/a