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.
SEC-registered adviser
H••••• A•••••• S•••••••• I•••
Latest filing Apr 17, 2026
First filing on the tape Feb 2, 2012 · 33 filings
SEC status approved since Aug 1, 1997
RAUM
$310M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$303M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$62.0M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$310M as of Apr 17, 2026
Feb 2, 2012$235M then
HNW client RAUM$282M as of Apr 17, 2026
Mar 22, 2018$210M then
State-registered IARs (5.B.3)4 as of Apr 17, 2026
Feb 1, 20130 then
Employees (5.A)6 as of Apr 17, 2026
Feb 1, 20134 then
Private funds: no history
RAUM -0.7% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 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
- RAUM per advisor
- $62.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $530,067derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $266M, 234 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$282M91%
- Individuals$21.2M6.8%
- Charitable organizations$4.5M1.4%
- Pension and profit-sharing plans$1.8M0.6%
- State and municipal entities$378,4350.1%
- Corporations and businesses$16,1420.0%
- Individual clients
- 120reported
- HNW clients
- 139reported
- Pension plan clients
- 6reported
- Charitable clients
- 8reported
- Accounts
- 585reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $266M for 234 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• N••••• H•••••Certified Financial Planner | Buffalo, Ny | Aug 6, 2013 | 25 y | 2 |
| E••• J••• C•••••• | Buffalo, Ny | Mar 21, 2022 | 17 y | 1 |
| J••••• C••••• H••••• | Buffalo, Ny | Mar 28, 2022 | 27 y | 1 |
| M•••••• P•••••• M•••• | Vero Beach, Fl | Oct 28, 2024 | 22 y | 6 |
| D•••• D••••• B•••••• | Greenwich, Ct | Jan 12, 2025 | 28 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 headcount2 left over 36 months
Left, latest
- J••••• C••••• H••••• to H••••• C•••••• A•••••••• I•••Dec 31, 2024 · RIA to RIA
- E••• J••• C•••••• to H••••• C•••••• A•••••••• I•••Dec 31, 2024 · RIA to RIA
Joined, latest
- M•••••• P•••••• M•••• from D•••••••• C•••••• A•••• M••••••••• L••Oct 28, 2024 · Other
- W•••••• N••••• H••••• from M••••••• M••••••••• C•••••••••May 21, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H••••• C•••••• A•••••••• I•••Dec 31, 2024 · Buffalo, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• W••••••• N••••• · Chairman/Ceocontrolsince 06/1997 · owns 50% to 75%
- M••••• F•••••• · Ownercontrolsince 06/1997 · owns 25% to 50%
- B••••••• D••••• D••••• · Presidentsince 07/2003 · owns less than 5%
- C••••••• E•••• J••• · Ownersince 05/2017 · owns less than 5%
- H•••••• J•••••• C••••• · Chief Compliance Officersince 10/2004 · owns less than 5%
- H•••••• W••••••• N••••• · Ownersince 05/2017 · owns less than 5%
Related persons
Schedule D 7.A
- H••••• C•••••• A•••••••• I•••investment advisernRAUM $328M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Vero Beach, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 699 to 585Jul 29, 2025 to Mar 31, 2026
- Corporate clients · 7.0 to unsetJul 29, 2025 to Mar 31, 2026
- HNW clients · 150 to 139Jul 29, 2025 to Mar 31, 2026
- Individual clients · 135 to 120Jul 29, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 6Jul 29, 2025 to Mar 31, 2026
- Assets in custody · $252M to $266MJul 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $295M to $285MJul 29, 2025 to Mar 31, 2026
- HNW RAUM · $284M to $282MJul 29, 2025 to Mar 31, 2026
- Individual RAUM · $19.4M to $21.2MJul 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $17.4M to $25.1MJul 29, 2025 to Mar 31, 2026
- Pension RAUM · $844,403 to $1.8MJul 29, 2025 to Mar 31, 2026
- RAUM · $312M to $310MJul 29, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Jun 30, 2025 to Jul 29, 2025
- Advisory employees · 5 to 6Jan 7, 2025 to Mar 25, 2025
- Charity clients · unset to 8.0Jan 7, 2025 to Mar 25, 2025
- Accounts · 578 to 699Jan 7, 2025 to Mar 25, 2025
- Corporate clients · 5 to 7Jan 7, 2025 to Mar 25, 2025
- HNW clients · 135 to 150Jan 7, 2025 to Mar 25, 2025
- Individual clients · 111 to 135Jan 7, 2025 to Mar 25, 2025
- Pension plan clients · 14 to 5Jan 7, 2025 to Mar 25, 2025
- Assets in custody · $118M to $252MJan 7, 2025 to Mar 25, 2025
- Employees · 5 to 6Jan 7, 2025 to Mar 25, 2025
- Financial planning clients · 0 to 1-10Jan 7, 2025 to Mar 25, 2025
- State-registered IARs · 3 to 4Jan 7, 2025 to Mar 25, 2025
- Discretionary RAUM · $240M to $295MJan 7, 2025 to Mar 25, 2025
- HNW RAUM · $229M to $284MJan 7, 2025 to Mar 25, 2025
- Individual RAUM · $19.0M to $19.4MJan 7, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $15.6M to $17.4MJan 7, 2025 to Mar 25, 2025
- Pension RAUM · $240,635 to $844,403Jan 7, 2025 to Mar 25, 2025
- RAUM · $256M to $312MJan 7, 2025 to Mar 25, 2025
- Accounts · 574 to 578Sep 27, 2023 to Mar 29, 2024
- Charity clients · 7.0 to unsetSep 27, 2023 to Mar 29, 2024
- Corporate clients · unset to 5.0Sep 27, 2023 to Mar 29, 2024
- HNW clients · 150 to 135Sep 27, 2023 to Mar 29, 2024
- Individual clients · 115 to 111Sep 27, 2023 to Mar 29, 2024
- Pension plan clients · 5 to 14Sep 27, 2023 to Mar 29, 2024
- Assets in custody · $198M to $118MSep 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $209M to $240MSep 27, 2023 to Mar 29, 2024
- HNW RAUM · $203M to $229MSep 27, 2023 to Mar 29, 2024
- Individual RAUM · $17.8M to $19.0MSep 27, 2023 to Mar 29, 2024
Signals
3 dated events
- E••• J••• C•••••• left H••••• A•••••• S•••••••• I••• for H••••• C•••••• A•••••••• I••• (registered 2022-03-21)Dec 31, 2024 · a•••••• firm change · fact
- J••••• C••••• H••••• left H••••• A•••••• S•••••••• I••• for H••••• C•••••• A•••••••• I••• (registered 2022-03-28)Dec 31, 2024 · a•••••• firm change · fact
- 2 advisors left H••••• A•••••• S•••••••• I••• (Buffalo, NY) for H••••• C•••••• A•••••••• I••• on the same dayDec 31, 2024 · Team lift-out · derived
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
- 716-505-1500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-504-1964reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••A••••••S.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-803-6587reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- hudsonadvisors.com/contact-usreportedpublished 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
- $62.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026