DFX Intelligence
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SEC-registered adviser
O••••• W••••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Mar 28, 2012 · 38 filings
SEC status approved since Mar 11, 1983
RAUM
$559M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$451M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$279M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$559M as of Feb 17, 2026
Mar 28, 2012$216M then
HNW client RAUM$406M as of Feb 17, 2026
Mar 28, 2018$253M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Feb 17, 2026
Mar 13, 20136 then
Private funds: no history
RAUM +6.4% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $279MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $840,452derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $569M, 204 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$406M73%
- Charitable organizations$108M19%
- Individuals$45.1M8.1%
- Individual clients
- 77reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 665reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $569M for 204 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• J••••• O•••••Certified Financial Planner | Williamsville, Ny | Aug 4, 2021 | 24 y | 0 |
| J•••••• H••••• V•••••Certified Financial Planner, Chartered Financial Analyst | Williamsville, Ny | Aug 17, 2021 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• A••••••• J••••• · Founder & Chief Investment Officer & Chief Compliance Officercontrolsince 03/2002 · owns 75% or more
- C•••••• A••••• · Financial Operations Managersince 09/2020 · owns 5% to 10%
- V•••••• J••••••• H••••• · Investment Analystsince 09/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 638 to 665Feb 13, 2025 to Feb 17, 2026
- HNW clients · 108 to 115Feb 13, 2025 to Feb 17, 2026
- Individual clients · 82 to 77Feb 13, 2025 to Feb 17, 2026
- Assets in custody · $20.2M to $569MFeb 13, 2025 to Feb 17, 2026
- Employees · 7 to 8Feb 13, 2025 to Feb 17, 2026
- Discretionary RAUM · $525M to $559MFeb 13, 2025 to Feb 17, 2026
- HNW RAUM · $383M to $406MFeb 13, 2025 to Feb 17, 2026
- Individual RAUM · $44.5M to $45.1MFeb 13, 2025 to Feb 17, 2026
- RAUM · $525M to $559MFeb 13, 2025 to Feb 17, 2026
- HNW clients · 99 to 108Feb 23, 2024 to Feb 13, 2025
- Individual clients · 91 to 82Feb 23, 2024 to Feb 13, 2025
- Assets in custody · $466M to $20.2MFeb 23, 2024 to Feb 13, 2025
- Employees · 8 to 7Feb 23, 2024 to Feb 13, 2025
- Financial planning clients · 101-250 to 101-250Feb 23, 2024 to Feb 13, 2025
- Discretionary RAUM · $469M to $525MFeb 23, 2024 to Feb 13, 2025
- HNW RAUM · $333M to $383MFeb 23, 2024 to Feb 13, 2025
- Individual RAUM · $46.0M to $44.5MFeb 23, 2024 to Feb 13, 2025
- RAUM · $469M to $525MFeb 23, 2024 to Feb 13, 2025
- Accounts · 198 to 638Jun 26, 2023 to Feb 23, 2024
- Advisory employees · 8 to 2Jun 26, 2023 to Feb 23, 2024
- HNW clients · 197 to 99Jun 26, 2023 to Feb 23, 2024
- Individual clients · 99 to 91Jun 26, 2023 to Feb 23, 2024
- Assets in custody · $403M to $466MJun 26, 2023 to Feb 23, 2024
- Discretionary RAUM · $412M to $469MJun 26, 2023 to Feb 23, 2024
- HNW RAUM · $282M to $333MJun 26, 2023 to Feb 23, 2024
- Individual RAUM · $49.6M to $46.0MJun 26, 2023 to Feb 23, 2024
- RAUM · $412M to $469MJun 26, 2023 to Feb 23, 2024
- Accounts · 180 to 198Feb 22, 2022 to Mar 6, 2023
- HNW clients · 99 to 197Feb 22, 2022 to Mar 6, 2023
- Individual clients · 88 to 99Feb 22, 2022 to Mar 6, 2023
- Assets in custody · $453M to $403MFeb 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $487M to $412MFeb 22, 2022 to Mar 6, 2023
- HNW RAUM · $346M to $282MFeb 22, 2022 to Mar 6, 2023
- Individual RAUM · $47.1M to $49.6MFeb 22, 2022 to Mar 6, 2023
- RAUM · $487M to $412MFeb 22, 2022 to Mar 6, 2023
- Accounts · 189 to 180Dec 23, 2021 to Feb 22, 2022
- HNW clients · 98 to 99Dec 23, 2021 to Feb 22, 2022
- Individual clients · 91 to 88Dec 23, 2021 to Feb 22, 2022
- Assets in custody · $445M to $453MDec 23, 2021 to Feb 22, 2022
- State-registered IARs · 4 to 2Dec 23, 2021 to Feb 22, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 716-626-5000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/O•••••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Feb 17, 2026
- Website
- O•••••.COMreportedpublic record, Form ADV, Feb 17, 2026
- Principal office phone
- 716-626-5000reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- o•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $279Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026