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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A•••• C•••••• M••••••••• C•••
Latest filing Mar 14, 2024
First filing on the tape Mar 6, 2012 · 19 filings
RAUM
$934M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
49%
$459M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$934M as of Mar 14, 2024
Mar 6, 2012$686M then
HNW client RAUM$138M as of Mar 14, 2024
Mar 30, 2018$154M then
State-registered IARs (5.B.3)3 as of Mar 14, 2024
Mar 8, 20134 then
Employees (5.A)7 as of Mar 14, 2024
Mar 8, 20136 then
Private funds: no history
RAUM -0.9% over the last fiscal year-3.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- $311MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Insurance companies$435M47%
- Individuals$321M34%
- High-net-worth individuals$138M15%
- Charitable organizations$24.7M2.6%
- Pension and profit-sharing plans$15.7M1.7%
- Corporations and businesses$333,8470.0%
- Individual clients
- 139reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 386reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $15.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D••••• M• T•••• to F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · RIA to RIA
- L••••••• T••••• M•••••• to F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · RIA to RIA
- M•••••••• J••••••• to F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · RIA to RIA
- G••••• T••••• C••• to F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · RIA to RIA
- L••••••• M••• to F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · RIA to RIA
- M•••••• J•••• W•••••••• to C•••• W••••• M•••••••••Dec 7, 2017 · Other
Joined, latest
- L••••••• M••• from S•••••••• A••••••• L••Oct 12, 2010 · Other
- G••••• T••••• C••• from A•••• C•••••• M•••••••••Jan 15, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for F• L• P••••• I••••••••• M••••••••• C••Dec 6, 2024 · Amherst, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• G•••••• T••••• · Vice Presidentcontrolsince 03/1995 · owns 50% to 75%
- M••••••• L•••••••• T••••• · President & Chief Compliance Officercontrolsince 03/1995 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Amherst, Ny · principal | 0 | 0 | 0 | ||
| Weston, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 407 to 386Oct 13, 2023 to Mar 14, 2024
- HNW clients · 110 to 109Oct 13, 2023 to Mar 14, 2024
- Individual clients · 152 to 139Oct 13, 2023 to Mar 14, 2024
- Discretionary RAUM · $374M to $403MOct 13, 2023 to Mar 14, 2024
- HNW RAUM · $135M to $138MOct 13, 2023 to Mar 14, 2024
- Individual RAUM · $271M to $321MOct 13, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $569M to $531MOct 13, 2023 to Mar 14, 2024
- Pension RAUM · $13.9M to $15.7MOct 13, 2023 to Mar 14, 2024
- RAUM · $942M to $934MOct 13, 2023 to Mar 14, 2024
- Wrap assets (manager) · $16.2M to $15.6MOct 13, 2023 to Mar 14, 2024
- Accounts · 390 to 407Mar 17, 2022 to Mar 13, 2023
- Corporate clients · 0.0 to unsetMar 17, 2022 to Mar 13, 2023
- HNW clients · 116 to 110Mar 17, 2022 to Mar 13, 2023
- Individual clients · 146 to 152Mar 17, 2022 to Mar 13, 2023
- Discretionary RAUM · $430M to $374MMar 17, 2022 to Mar 13, 2023
- HNW RAUM · $149M to $135MMar 17, 2022 to Mar 13, 2023
- Individual RAUM · $309M to $271MMar 17, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $659M to $569MMar 17, 2022 to Mar 13, 2023
- Pension RAUM · $15.3M to $13.9MMar 17, 2022 to Mar 13, 2023
- RAUM · $1.1B to $942MMar 17, 2022 to Mar 13, 2023
- Wrap assets (manager) · $15.7M to $16.2MMar 17, 2022 to Mar 13, 2023
- Accounts · 396 to 390Mar 26, 2021 to Mar 17, 2022
- Charity clients · unset to 11.0Mar 26, 2021 to Mar 17, 2022
- Corporate clients · 7 to 0Mar 26, 2021 to Mar 17, 2022
- HNW clients · 102 to 116Mar 26, 2021 to Mar 17, 2022
- Individual clients · 163 to 146Mar 26, 2021 to Mar 17, 2022
- Discretionary RAUM · $388M to $430MMar 26, 2021 to Mar 17, 2022
- HNW RAUM · $133M to $149MMar 26, 2021 to Mar 17, 2022
- Individual RAUM · $270M to $309MMar 26, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $636M to $659MMar 26, 2021 to Mar 17, 2022
- Pension RAUM · $20.4M to $15.3MMar 26, 2021 to Mar 17, 2022
- RAUM · $1.0B to $1.1BMar 26, 2021 to Mar 17, 2022
- Wrap assets (manager) · $29.2M to $15.7MMar 26, 2021 to Mar 17, 2022
- Accounts · 395 to 396Jun 29, 2020 to Mar 26, 2021
- Charity clients · 4.0 to unsetJun 29, 2020 to Mar 26, 2021
- HNW clients · 110 to 102Jun 29, 2020 to Mar 26, 2021
- Pension plan clients · 5.0 to unsetJun 29, 2020 to Mar 26, 2021
- Discretionary RAUM · $366M to $388MJun 29, 2020 to Mar 26, 2021
- HNW RAUM · $148M to $133MJun 29, 2020 to Mar 26, 2021
- Individual RAUM · $242M to $270MJun 29, 2020 to Mar 26, 2021
Signals
6 dated events
- D••••• M• T•••• left A•••• C•••••• M••••••••• C••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-07-31)Dec 6, 2024 · Advisor changed firm · fact
- L••••••• T••••• M•••••• left A•••• C•••••• M••••••••• C••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-07-26)Dec 6, 2024 · Advisor changed firm · fact
- M•••••••• J••••••• left A•••• C•••••• M••••••••• C••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-07-18)Dec 6, 2024 · Advisor changed firm · fact
- G••••• T••••• C••• left A•••• C•••••• M••••••••• C••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-12-02)Dec 6, 2024 · Advisor changed firm · fact
- L••••••• M••• left A•••• C•••••• M••••••••• C••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2025-07-21)Dec 6, 2024 · Advisor changed firm · fact
- A•••• C•••••• M••••••••• C•••'s advisors moved to F• L• P••••• I••••••••• M••••••••• C•• (Amherst, NY): 4 of 5 registered, on the same dayDec 6, 2024 · Firm absorbed (people side) · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026