DFX Intelligence

L•••••••• • C••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

L•••••••• • C••••••• L••

CRD 285044

PITTSFORD, NY

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 4, 2016 to Mar 31, 2026
24 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $162M••• Locked
Discretionary RAUM: $162M
Private client RAUM: $157Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $53.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• L•••• O•••••	Certified Financial Planner	PITTSFORD, NY	4	20	1	no
J•••• P••• C•••••	n/a	Rochester, NY	4	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• R••••••• L•••	CO-FOUNDER AND CHIEF COMPLIANCE OFFICER	D	yes	08/2016	Nov 4, 2016	Mar 29, 2024
O•••••• K••••• L••••	CO-FOUNDER AND MANAGING PARTNER	D	yes	07/2018	Oct 3, 2018	Mar 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Rochester	NY	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$162M	$135M	20.0%	$103M	16.3%	5	5	1	1

Relationships

Registered with (3)

← R•••••• L••• G•••••••Advisorregistration: current employment
Dec 15, 2021 to presentfactForm ADV
← J•••• P••• C•••••Advisorregistration: current employment
Dec 9, 2021 to presentfactForm ADV
← K•••• L•••• O•••••Advisorregistration: current employment
Sep 29, 2021 to presentfactForm ADV

Controls (2)

Dated events

Order

Occurred
3 Oct 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 4, 2016
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.