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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NOTE ADVISORS, LLC

CRD 171466

BUFFALO, 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:e03f652b-6dd1-1cb4-e086-cf84fb6dcc33

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: May 20, 2014 to Mar 30, 2026
24 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=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $437MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $437M
Private client RAUM: $364MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $87.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,183
Individual clients: 465
High net worth clients: 53
SEC number: 801-79807
CRD: 171466
Filings on the tape: 24
First filed: May 20, 2014
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, NY
Website: noteadvisor.com

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
SHAWN CASEY GLOGOWSKI	Certified Financial Planner	BUFFALO, NY	9	19	n/a	no
ANGELA MARIE HALL	Certified Financial Planner	Hamburg, NY	8	18	4	no
THOMAS HOWARD WARING	Chartered Financial Consultant	BUFFALO, NY	5	28	n/a	no
Colten Tyler Kitcho	n/a	BUFFALO, NY	3	13	n/a	no
Thomas John Conway	Certified Financial Planner	BUFFALO, NY	1	11	n/a	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
GLOGOWSKI, SHAWN, CASEY	PRINCIPAL/CCO	C	yes	08/2014	Aug 13, 2014	Sep 25, 2024
WARING, THOMAS, HOWARD	Principal	D	yes	08/2014	Aug 13, 2014	Sep 25, 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
2025	Mar 30, 2026	$437M	$437M	11	6	0	n/a	n/a
2024	Mar 25, 2025	$382M	$382M	9	6	0	n/a	n/a
2023	Mar 24, 2024	$292M	$292M	8	6	0	n/a	n/a
2022	Mar 29, 2023	$199M	$198M	8	6	0	n/a	n/a
2021	Mar 25, 2022	$197M	$196M	8	6	0	n/a	n/a
2020	Mar 23, 2021	$143M	$143M	6	4	0	n/a	n/a
2019	Mar 17, 2020	$117M	$117M	6	4	0	n/a	n/a
2018	Mar 20, 2019	$90.8M	$90.8M	5	3	0	n/a	n/a
2017	Mar 23, 2018	$74.5M	$74.3M	6	4	0	n/a	n/a
2016	Mar 14, 2017	$57.1M	$56.9M	6	4	n/a	n/a	n/a
2015	Mar 17, 2016	$49.3M	$49.3M	5	3	n/a	n/a	n/a
2014	Feb 4, 2015	$54.1M	$54.1M	5	3	n/a	n/a	n/a

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	1	-1	20.0%	0	0	0	0	1

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	$437M	$382M	14.3%	$199M	30.0%	11	9	0	0

Relationships

Registered with (7)

← Thomas John ConwayAdvisorregistration: current employment
Apr 16, 2025 to presentfactForm ADV
← Colten Tyler KitchoAdvisorregistration: current employment
Aug 11, 2023 to presentfactForm ADV
← THOMAS HOWARD WARINGAdvisorregistration: current employment
Mar 1, 2021 to presentfactForm ADV
← ANGELA MARIE HALLAdvisorregistration: current employment
Aug 2, 2018 to presentfactForm ADV
← SHAWN CASEY GLOGOWSKIAdvisorregistration: current employment
Mar 17, 2017 to presentfactForm ADV
← Mario Anthony RiccadonnaAdvisorregistration: previous registration
Mar 12, 2023 to Dec 16, 2025factForm ADV
← Angelo Antonino D'Amato GoodenoughAdvisorregistration: previous registration
Mar 18, 2021 to Sep 13, 2022factForm ADV

Controls (2)

← WARING, THOMAS, HOWARDOwnerPRINCIPAL, ownership code D, individual
Aug 13, 2014 to Sep 25, 2024factForm ADV
← GLOGOWSKI, SHAWN, CASEYOwnerPRINCIPAL/CCO, ownership code C, individual
Aug 13, 2014 to Sep 25, 2024factForm ADV

Dated events

Occurred
Dec 16, 2025
Advisor changed firm
Mario Anthony Riccadonna left Note Advisors, Llc for Cwm, Llc (registered 2026-01-13)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2022
Advisor changed firm
Angelo Antonino D'Amato Goodenough left Note Advisors, Llc for Sanderson Wealth Management, Llc (registered 2023-02-02)
Form ADVobserved 5 days ago
Occurred
Aug 13, 2014
Succession filed (Item 4)
Gcw Capital, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
May 20, 2014
First Form ADV filing
Gcw Capital, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e03f652b-6dd1-1cb4-e086-cf84fb6dcc33
First observed: May 20, 2014
Last observed: Mar 30, 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.

NOTE ADVISORS, LLC

CRD 171466

BUFFALO, 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:e03f652b-6dd1-1cb4-e086-cf84fb6dcc33

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SHAWN CASEY GLOGOWSKI

Certified Financial Planner

BUFFALO, NY

n/a

ANGELA MARIE HALL

Certified Financial Planner

Hamburg, NY

THOMAS HOWARD WARING

Chartered Financial Consultant

BUFFALO, NY

n/a

Colten Tyler Kitcho

n/a

BUFFALO, NY

n/a

Thomas John Conway

Certified Financial Planner

BUFFALO, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GLOGOWSKI, SHAWN, CASEY

PRINCIPAL/CCO

yes

08/2014

Aug 13, 2014

Sep 25, 2024

WARING, THOMAS, HOWARD

Principal

yes

08/2014

Aug 13, 2014

Sep 25, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$437M

n/a

2024

Mar 25, 2025

$382M

n/a

2023

Mar 24, 2024

$292M

n/a

2022

Mar 29, 2023

$199M

$198M

n/a

2021

Mar 25, 2022

$197M

$196M

n/a

2020

Mar 23, 2021

$143M

n/a

2019

Mar 17, 2020

$117M

n/a

2018

Mar 20, 2019

$90.8M

n/a

2017

Mar 23, 2018

$74.5M

$74.3M

n/a

2016

Mar 14, 2017

$57.1M

$56.9M

n/a

2015

Mar 17, 2016

$49.3M

n/a

2014

Feb 4, 2015

$54.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$437M

$382M

14.3%

$199M

30.0%