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
R•••••••• F•••••••• S•••••••
Legal name F•••••• J•••••• M•••
Latest filing Jan 13, 2026
First filing on the tape Jan 19, 2012 · 19 filings
SEC status approved since Dec 23, 1999
RAUM
$341M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$341M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$341M
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
19 filings and snapshots on the tape
RAUM$341M as of Jan 13, 2026
Jan 19, 2012$95.3M then
HNW client RAUM$259M as of Jan 13, 2026
Jan 16, 2018$107M then
State-registered IARs (5.B.3)0 as of Jan 13, 2026
Jan 19, 20120 then
Employees (5.A)1 as of Jan 13, 2026
Jan 18, 20131 then
Private funds: no history
RAUM +10% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $341MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 320derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM 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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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
- High-net-worth individuals$259M76%
- Individuals$81.3M24%
- Individual clients
- 190reported
- HNW clients
- 130reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 320reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M••• F••••••Certified Financial Planner | Pittsford, Ny | Jul 13, 2021 | 33 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
- F••••••• J••••••• M••• · Chief Compliance Officercontrolsince 01/2006 · 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 · 317 to 320Jan 9, 2025 to Jan 13, 2026
- HNW clients · 107 to 130Jan 9, 2025 to Jan 13, 2026
- Individual clients · 210 to 190Jan 9, 2025 to Jan 13, 2026
- Discretionary RAUM · $309M to $341MJan 9, 2025 to Jan 13, 2026
- HNW RAUM · $214M to $259MJan 9, 2025 to Jan 13, 2026
- Individual RAUM · $95.7M to $81.3MJan 9, 2025 to Jan 13, 2026
- RAUM · $309M to $341MJan 9, 2025 to Jan 13, 2026
- Accounts · 324 to 317Jan 9, 2024 to Jan 9, 2025
- HNW clients · 92 to 107Jan 9, 2024 to Jan 9, 2025
- Individual clients · 230 to 210Jan 9, 2024 to Jan 9, 2025
- Financial planning clients · 251-500 to 251-500Jan 9, 2024 to Jan 9, 2025
- HQ city · unset to Jan 9, 2024 to Jan 9, 2025
- HQ state · unset to Jan 9, 2024 to Jan 9, 2025
- Discretionary RAUM · $274M to $309MJan 9, 2024 to Jan 9, 2025
- HNW RAUM · $175M to $214MJan 9, 2024 to Jan 9, 2025
- Individual RAUM · $99.3M to $95.7MJan 9, 2024 to Jan 9, 2025
- RAUM · $274M to $309MJan 9, 2024 to Jan 9, 2025
- HNW clients · 74 to 92Jan 17, 2023 to Jan 9, 2024
- Individual clients · 250 to 230Jan 17, 2023 to Jan 9, 2024
- Discretionary RAUM · $231M to $274MJan 17, 2023 to Jan 9, 2024
- HNW RAUM · $130M to $175MJan 17, 2023 to Jan 9, 2024
- Individual RAUM · $101M to $99.3MJan 17, 2023 to Jan 9, 2024
- RAUM · $231M to $274MJan 17, 2023 to Jan 9, 2024
- Accounts · 332 to 324Jan 14, 2022 to Jan 17, 2023
- HNW clients · 104 to 74Jan 14, 2022 to Jan 17, 2023
- Individual clients · 228 to 250Jan 14, 2022 to Jan 17, 2023
- Discretionary RAUM · $287M to $231MJan 14, 2022 to Jan 17, 2023
- HNW RAUM · $184M to $130MJan 14, 2022 to Jan 17, 2023
- Individual RAUM · $103M to $101MJan 14, 2022 to Jan 17, 2023
- RAUM · $287M to $231MJan 14, 2022 to Jan 17, 2023
- Accounts · 317 to 332Dec 1, 2021 to Jan 14, 2022
- HNW clients · 85 to 104Dec 1, 2021 to Jan 14, 2022
- Individual clients · 232 to 228Dec 1, 2021 to Jan 14, 2022
- Discretionary RAUM · $253M to $287MDec 1, 2021 to Jan 14, 2022
- HNW RAUM · $155M to $184MDec 1, 2021 to Jan 14, 2022
- Individual RAUM · $98.0M to $103MDec 1, 2021 to Jan 14, 2022
- RAUM · $253M to $287MDec 1, 2021 to Jan 14, 2022
- Accounts · 318 to 317Jan 8, 2020 to Jan 17, 2021
- HNW clients · 77 to 85Jan 8, 2020 to Jan 17, 2021
- Individual clients · 241 to 232Jan 8, 2020 to Jan 17, 2021
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
- 585-442-7580reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-835-8039reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-442-7580reportedpublic record, Form ADV, Jan 13, 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
- $341Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026