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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Former SEC-registered adviser

S••••• F•••••••• S••••••••• I••

Former SEC-registered adviserAmherst, New YorkCRD 107818SEC 801-60102IAPD
Latest filing Apr 22, 2019
First filing on the tape Feb 10, 2012 · 14 filings
RAUM
$59.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$59.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$59.8M as of Apr 22, 2019
Feb 10, 2012$54.7M then
HNW client RAUM$48.7M as of Apr 22, 2019
Jun 19, 2018$50.2M then
State-registered IARs (5.B.3)0 as of Apr 22, 2019
Feb 10, 20120 then
Employees (5.A)3 as of Apr 22, 2019
Apr 3, 20134 then
Private funds: no history
RAUM +2.1% over the last fiscal year+6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$842,581derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-6.7%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$48.7M81%
  • Individuals$10.6M18%
  • Pension and profit-sharing plans$503,0660.8%
Individual clients
49reported
HNW clients
21reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
71reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• D••••• L• · Presidentcontrol
        since 12/1999 · 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
      • Accounts · 253 to 71
        Jun 19, 2018 to Apr 22, 2019
      • Individual clients · 54 to 49
        Jun 19, 2018 to Apr 22, 2019
      • Discretionary RAUM · $58.6M to $59.8M
        Jun 19, 2018 to Apr 22, 2019
      • HNW RAUM · $50.2M to $48.7M
        Jun 19, 2018 to Apr 22, 2019
      • Individual RAUM · $7.8M to $10.6M
        Jun 19, 2018 to Apr 22, 2019
      • Pension RAUM · $617,261 to $503,066
        Jun 19, 2018 to Apr 22, 2019
      • RAUM · $58.6M to $59.8M
        Jun 19, 2018 to Apr 22, 2019
      • Accounts · 281 to 253
        Jun 12, 2018 to Jun 19, 2018
      • Charity clients · 1 to 0
        Jun 12, 2018 to Jun 19, 2018
      • HNW clients · 20 to 21
        Jun 12, 2018 to Jun 19, 2018
      • Individual clients · 58 to 54
        Jun 12, 2018 to Jun 19, 2018
      • Discretionary RAUM · $63.5M to $58.6M
        Jun 12, 2018 to Jun 19, 2018
      • HNW RAUM · $50.3M to $50.2M
        Jun 12, 2018 to Jun 19, 2018
      • Individual RAUM · $12.3M to $7.8M
        Jun 12, 2018 to Jun 19, 2018
      • Pension RAUM · $670,370 to $617,261
        Jun 12, 2018 to Jun 19, 2018
      • RAUM · $63.5M to $58.6M
        Jun 12, 2018 to Jun 19, 2018
      • Accounts · 267 to 281
        Jun 27, 2017 to Apr 2, 2018
      • Charity clients · unset to 1.0
        Jun 27, 2017 to Apr 2, 2018
      • Corporate clients · unset to 0.0
        Jun 27, 2017 to Apr 2, 2018
      • HNW clients · unset to 20.0
        Jun 27, 2017 to Apr 2, 2018
      • Individual clients · unset to 58.0
        Jun 27, 2017 to Apr 2, 2018
      • Pension plan clients · unset to 1.0
        Jun 27, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 27, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Jun 27, 2017 to Apr 2, 2018
      • Discretionary RAUM · $54.7M to $63.5M
        Jun 27, 2017 to Apr 2, 2018
      • HNW RAUM · unset to 50338356.0
        Jun 27, 2017 to Apr 2, 2018
      • Individual RAUM · unset to 12301138.0
        Jun 27, 2017 to Apr 2, 2018
      • Pension RAUM · unset to 670370.0
        Jun 27, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 27, 2017 to Apr 2, 2018
      • RAUM · $54.7M to $63.5M
        Jun 27, 2017 to Apr 2, 2018
      • Accounts · 251 to 267
        Jun 21, 2017 to Jun 27, 2017
      • Discretionary RAUM · $49.1M to $54.7M
        Jun 21, 2017 to Jun 27, 2017
      • RAUM · $49.1M to $54.7M
        Jun 21, 2017 to Jun 27, 2017
      • BD registered reps · 1 to 0
        Jun 29, 2016 to Jun 21, 2017
      • Accounts · 269 to 251
        Jun 22, 2015 to Jun 29, 2016
      • Discretionary RAUM · $55.1M to $49.1M
        Jun 22, 2015 to Jun 29, 2016
      • RAUM · $55.1M to $49.1M
        Jun 22, 2015 to Jun 29, 2016
      • Accounts · 268 to 269
        Jun 27, 2014 to Jun 22, 2015
      • Advisory employees · 1 to 2
        Jun 27, 2014 to Jun 22, 2015
      • Advisory activities · 2 to 3
        Jun 27, 2014 to Jun 22, 2015
      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.
      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