DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••• • C••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Apr 19, 1991
RAUM
$5.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$5.8M as of Apr 20, 2026
Mar 28, 2012$76.6M then
HNW client RAUM$21.3M as of Mar 30, 2023
Mar 29, 2018$36.6M then
State-registered IARs (5.B.3)0 as of Apr 20, 2026
Mar 28, 20120 then
Employees (5.A)1 as of Apr 20, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +0.0% over the last fiscal year-40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $103,755derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$5.8M100%
- Individual clients
- 45reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 56reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• K•••• S•••••••Certified Financial Planner | Lockport, Ny | Mar 4, 2025 | 39 y | 1 |
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
- C•••••• K•••• S••••••• from C••••••••• F•••••••• N••••••Mar 4, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• C••••••• K•••• · President/Chief Compliance Officercontrolsince 12/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetApr 20, 2026 to Sep 11, 2026
- Related adviser · false to unsetApr 20, 2026 to Sep 11, 2026
- Related bank · false to unsetApr 20, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetApr 20, 2026 to Sep 11, 2026
- Related insurance company · false to unsetApr 20, 2026 to Sep 11, 2026
- Succession · false to unsetApr 20, 2026 to Sep 11, 2026
- Advisory activities · 2 to 1Nov 24, 2025 to Apr 20, 2026
- Financial planning clients · 11-25 to Nov 24, 2025 to Apr 20, 2026
- Financial planning clients · 11-25 to 11-25Mar 4, 2025 to Mar 13, 2025
- Accounts · 122 to 56Mar 30, 2023 to Mar 4, 2025
- HNW clients · 51.0 to unsetMar 30, 2023 to Mar 4, 2025
- Individual clients · 40 to 45Mar 30, 2023 to Mar 4, 2025
- Discretionary RAUM · $26.4M to $5.8MMar 30, 2023 to Mar 4, 2025
- HNW RAUM · 21296628.0 to unsetMar 30, 2023 to Mar 4, 2025
- Individual RAUM · $5.1M to $5.8MMar 30, 2023 to Mar 4, 2025
- RAUM · $26.4M to $5.8MMar 30, 2023 to Mar 4, 2025
- Accounts · 143 to 122Mar 30, 2022 to Mar 30, 2023
- HNW clients · 40 to 51Mar 30, 2022 to Mar 30, 2023
- Individual clients · 55 to 40Mar 30, 2022 to Mar 30, 2023
- Financial planning clients · 26-50 to 11-25Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $33.8M to $26.4MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $26.2M to $21.3MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $7.6M to $5.1MMar 30, 2022 to Mar 30, 2023
- RAUM · $33.8M to $26.4MMar 30, 2022 to Mar 30, 2023
- Accounts · 209 to 143Apr 7, 2021 to Mar 30, 2022
- HNW clients · 24 to 40Apr 7, 2021 to Mar 30, 2022
- Individual clients · 58 to 55Apr 7, 2021 to Mar 30, 2022
- Discretionary RAUM · $51.4M to $33.8MApr 7, 2021 to Mar 30, 2022
- HNW RAUM · $42.2M to $26.2MApr 7, 2021 to Mar 30, 2022
- Individual RAUM · $9.3M to $7.6MApr 7, 2021 to Mar 30, 2022
- RAUM · $51.4M to $33.8MApr 7, 2021 to Mar 30, 2022
- Accounts · 234 to 209Feb 19, 2020 to Apr 7, 2021
- Discretionary RAUM · $58.2M to $51.4MFeb 19, 2020 to Apr 7, 2021
- HNW RAUM · $48.9M to $42.2MFeb 19, 2020 to Apr 7, 2021
- Individual RAUM · $9.3M to $9.3MFeb 19, 2020 to Apr 7, 2021
- RAUM · $58.2M to $51.4MFeb 19, 2020 to Apr 7, 2021
- Accounts · 237 to 234Mar 14, 2019 to Feb 19, 2020
- HNW clients · 13 to 24Mar 14, 2019 to Feb 19, 2020
- Individual clients · 69 to 58Mar 14, 2019 to Feb 19, 2020
- Discretionary RAUM · $56.1M to $58.2MMar 14, 2019 to Feb 19, 2020
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
- Website
- S•••••••ANDCOMPANY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-439-1265reportedpublic record, Form ADV, Sep 11, 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
- $5.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026