DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M••••••• C••••••••• G••••• L••

CRD 268812

AMHERST, NY

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Search this name across graphsid dfx:ria:d4709174-a811-5742-96e6-149c9c1b28dc

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Aug 7, 2015 to Mar 23, 2026
28 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $416M••• Locked
Discretionary RAUM: $416M
Private client RAUM: $408Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $139Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• R•••••• D•••••	Certified Financial Planner	AMHERST, NY	9	32	1	no
K•••••••• A•• C•••••••••	n/a	AMHERST, NY	5	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• K••••••••• A••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	E	yes	10/2015	Nov 2, 2015	Mar 21, 2024

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	$416M	$442M	-5.8%	$378M	3.2%	6	6	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• F•••• A•••••••	2	Nov 9, 2015	Jun 22, 2021	AMHERST, NY	Team lift out	Wirehouse to new firm	0.2%

Relationships

Registered with (3)

← M•••••• B•••• J••••••Advisorregistration: current employment
Jul 29, 2022 to presentfactForm ADV
← K•••••••• A•• C•••••••••Advisorregistration: current employment
Jun 22, 2021 to presentfactForm ADV
← W•••••• R•••••• D•••••Advisorregistration: current employment
Jan 25, 2017 to presentfactForm ADV

Controls (1)

Dated events

Occurred
Mar 29, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-132M
Occurred
Nov 2, 2015
Succession filed (Item 4)
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 7, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4709174-a811-5742-96e6-149c9c1b28dc
First observed: Aug 7, 2015
Last observed: Mar 23, 2026 6 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.