DFX Intelligence

H••••• C•••••• A••••••• S•••••••• 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

H••••• C•••••• A••••••• S•••••••• I•••

CRD 146693

FAIRPORT, NY

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Search this name across graphsid dfx:ria:94c65714-492d-9eb4-06a0-47b1df3020c8

Data as of Mar 19, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 19, 2018
15 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: $70.7M••• Locked
Discretionary RAUM: $31.9M
Private client RAUM: $70.3Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• D•••••• A•	VICE PRESIDENT AND CHIEF OPERATIONS OFFICER	Na	yes	11/2017	Sep 1, 2017	Mar 19, 2018
M••••• F••••• A••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	01/2008	Mar 23, 2012	Mar 19, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••••• J• S••••• C••• P•	n/a	n/a	n/a	N	no	n/a
H••••• F•••••••• G••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Rochester	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2017	$70.7M	$39.3M	80.0%	$43.1M	17.9%	4	4	1	n/a

Relationships

Controls (2)

← M••••• F••••• A••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV
← M••••• D•••••• A•OwnerVICE PRESIDENT AND CHIEF OPERATIONS OFFICER, ownership code NA, individual
Sep 1, 2017 to presentfactForm ADV

Registered with (1)

← D••••• A M••••Advisorregistration: previous registration
Sep 5, 2013 to Mar 28, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94c65714-492d-9eb4-06a0-47b1df3020c8
First observed: Mar 23, 2012
Last observed: Mar 19, 2018 103 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.