DFX Intelligence

Data Factory

O•••• C•••••• M••••••••• L••: 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 under $100M

O•••• C•••••• M••••••••• L••

CRD 108201

PITTSFORD, 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:d24bd196-c33b-c7f3-19ed-0e82f2621456

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 27, 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $67.4MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $67.4M
Private client RAUM: $67.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
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
P•••••••• A••• B•••• J••••	Certified Financial Planner	Pittsford, NY	5	42	1	no

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•••• J••••• P••••••••• A•••	CHIEF COMPLIANCE OFFICER/CEO/CFO/CLO/COO	E	yes	06/2009	Mar 28, 2012	Mar 28, 2024

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
0	0	0	0.0%	0	0	0	0	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	$67.4M	$65.9M	2.2%	$67.4M	0.0%	2	2	0	0

Relationships

Registered with (1)

← P•••••••• A••• B•••• J••••Advisorregistration: previous registration
Feb 14, 2007 to Dec 31, 2014factForm ADV

Controls (1)

← B•••• J••••• P••••••••• A•••OwnerCHIEF COMPLIANCE OFFICER/CEO/CFO/CLO/COO, ownership code E, individual
Mar 28, 2012 to Mar 28, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d24bd196-c33b-c7f3-19ed-0e82f2621456
First observed: Mar 28, 2012
Last observed: Mar 27, 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 27, 2026	$67.4M	$67.4M	2	1	0	n/a	n/a
2024	Apr 8, 2025	$65.9M	$65.9M	2	1	0	n/a	n/a
2023	Mar 28, 2024	$67.5M	$67.5M	2	1	0	n/a	n/a
2022	Mar 30, 2023	$67.4M	$67.4M	2	1	0	n/a	n/a
2021	Mar 25, 2022	$66.7M	$66.7M	2	1	0	n/a	n/a
2020	Mar 22, 2021	$64.3M	$64.3M	2	1	0	n/a	n/a
2019	Mar 23, 2020	$63.6M	$63.6M	2	1	0	n/a	n/a
2018	Mar 20, 2019	$57.4M	$57.4M	2	1	0	n/a	n/a
2017	Mar 21, 2018	$63.2M	$63.2M	2	1	0	n/a	n/a
2016	Mar 24, 2017	$60.0M	$60.0M	2	1	n/a	n/a	n/a
2015	Mar 24, 2016	$52.1M	$52.1M	2	1	n/a	n/a	n/a
2014	Mar 24, 2015	$56.4M	$56.4M	2	1	n/a	n/a	n/a
2013	Mar 20, 2014	$55.1M	$55.1M	2	1	n/a	n/a	n/a
2012	Mar 22, 2013	$47.9M	$47.9M	2	1	n/a	n/a	n/a
2011	Mar 28, 2012	$46.7M	$46.7M	n/a	n/a	n/a	n/a	n/a