DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

N••••• F•••• M••••••••• L••

CRD 151749

WILLIAMSVILLIE, NY

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Search this name across graphsid dfx:ria:ba19be25-2a39-6e7b-57a6-954a997ac96f

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 12, 2012 to Feb 10, 2026
17 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $41.2M••• Locked
Discretionary RAUM: $41.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• M••••••• S•••••	Member	B	yes	09/2009	Apr 12, 2012	Feb 26, 2024
N•••••• D•••••• D••••	President	D	yes	09/2009	Apr 12, 2012	Feb 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• S•••••••• W••••• M••••••••• L••	n/a	I•••••••••_WEALTH	$1.5B	N	yes	n/a

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

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	$41.2M	$35.4M	16.4%	$30.1M	11.1%	3	3	2	2

Relationships

Affiliated with (2)

← I••••••••• S•••••••• W••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ I••••••••• S•••••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← L••••• M••••••• S•••••OwnerMEMBER, ownership code B, individual
Apr 12, 2012 to Feb 26, 2024factForm ADV
← W•••••• G••••• C••••••Owner

Dated events

Occurred
Oct 13, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba19be25-2a39-6e7b-57a6-954a997ac96f
First observed: Apr 12, 2012
Last observed: Feb 10, 2026 7 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.