DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••••• W••••• M••••••••• L••

CRD 325629

VICTOR, NY

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Search this name across graphsid dfx:ria:b0907eb0-09bd-88a6-2308-b43770077496

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 12
On other graphs: 1
Observed: Mar 7, 2023 to Sep 17, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

E••••••• W••••• M•••••••••

Family office · key crd, shared crd

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= related_bank= bd_reps=0.0
Regulatory AUM: $513M••• Locked
Discretionary RAUM: $496M
Private client RAUM: $499Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $103Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• J• H•••	n/a	VICTOR, NY	3	24	2	no
D••••• F• A••••••••	n/a	VICTOR, NY	3	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• D•••••• F•	FOUNDER/MANAGING DIRECTOR	Na	yes	03/2023	Mar 7, 2023	Apr 17, 2024
H•••• D•••••• J•	FOUNDER/MANAGING DIRECTOR	E	yes	03/2023	Mar 7, 2023	Apr 17, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 21, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	20.0%	0	0	0	2	1

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	$513M	$438M	17.2%	n/a	n/a	9	10	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• I••••••••• A•••• M••••••••• 2• L••	2	May 1, 2023	May 2, 2023	PORTLAND, OR	Team lift out	RIA to new firm	40.0%

Relationships

Affiliated with (1)

← M•••••• W••••• M••••••••• L••Registered adviserother investment adviser, control
factForm ADV

Registered with (6)

← J••• T••••• S•••••••Advisorregistration: current employment
Jun 4, 2026 to presentfactForm ADV
← M•••• H•••••Advisorregistration: current employment
Jun 27, 2024 to presentfactForm ADV
←

Dated events

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

Occurred
Sep 17, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 17, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jan 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0907eb0-09bd-88a6-2308-b43770077496
First observed: Mar 7, 2023
Last observed: Sep 17, 2026 6 days 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.