DFX Intelligence
RIA Intelligence
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SEC-registered adviser
O•••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Apr 3, 2001
RAUM
$67.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$67.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$67.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$67.4M as of Mar 27, 2026
Mar 28, 2012$46.7M then
HNW client RAUM$24.3M as of Mar 27, 2026
Mar 21, 2018$30.4M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 22, 20130 then
Employees (5.A)2 as of Mar 27, 2026
Mar 22, 20132 then
Private funds: no history
RAUM +2.2% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $325,620derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +55%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$43.1M64%
- High-net-worth individuals$24.3M36%
- Individual clients
- 138reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 207reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| P•••••••• A••• B•••• J••••Certified Financial Planner | Pittsford, Ny | Jul 12, 2021 | 42 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• P••••••••• A••• · Chief Compliance Officer/Ceo/Cfo/Clo/Coocontrolsince 06/2009 · 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 · 230 to 207Apr 8, 2025 to Mar 27, 2026
- HNW clients · 11 to 9Apr 8, 2025 to Mar 27, 2026
- Individual clients · 84 to 138Apr 8, 2025 to Mar 27, 2026
- Assets in custody · $561,477 to $666,308Apr 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $65.9M to $67.4MApr 8, 2025 to Mar 27, 2026
- HNW RAUM · $26.6M to $24.3MApr 8, 2025 to Mar 27, 2026
- Individual RAUM · $39.4M to $43.1MApr 8, 2025 to Mar 27, 2026
- RAUM · $65.9M to $67.4MApr 8, 2025 to Mar 27, 2026
- Accounts · 216 to 230Mar 28, 2024 to Apr 8, 2025
- Individual clients · 83 to 84Mar 28, 2024 to Apr 8, 2025
- Assets in custody · unset to 561477.0Mar 28, 2024 to Apr 8, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Apr 8, 2025
- Discretionary RAUM · $67.5M to $65.9MMar 28, 2024 to Apr 8, 2025
- HNW RAUM · $22.8M to $26.6MMar 28, 2024 to Apr 8, 2025
- Individual RAUM · $44.0M to $39.4MMar 28, 2024 to Apr 8, 2025
- Pension RAUM · 731973.0 to unsetMar 28, 2024 to Apr 8, 2025
- RAUM · $67.5M to $65.9MMar 28, 2024 to Apr 8, 2025
- Accounts · 219 to 216Mar 30, 2023 to Mar 28, 2024
- HNW clients · 14 to 11Mar 30, 2023 to Mar 28, 2024
- Individual clients · 78 to 83Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $67.4M to $67.5MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $38.2M to $22.8MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $28.3M to $44.0MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $836,267 to $731,973Mar 30, 2023 to Mar 28, 2024
- RAUM · $67.4M to $67.5MMar 30, 2023 to Mar 28, 2024
- Accounts · 222 to 219Sep 29, 2022 to Mar 30, 2023
- HNW clients · 35 to 14Sep 29, 2022 to Mar 30, 2023
- Individual clients · 82 to 78Sep 29, 2022 to Mar 30, 2023
- Pension plan clients · 1.0 to unsetSep 29, 2022 to Mar 30, 2023
- Assets in custody · 1214485.0 to unsetSep 29, 2022 to Mar 30, 2023
- Custody of client assets · true to falseSep 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $66.7M to $67.4MSep 29, 2022 to Mar 30, 2023
- HNW RAUM · $53.4M to $38.2MSep 29, 2022 to Mar 30, 2023
- Individual RAUM · $12.4M to $28.3MSep 29, 2022 to Mar 30, 2023
- Pension RAUM · $975,629 to $836,267Sep 29, 2022 to Mar 30, 2023
- RAUM · $66.7M to $67.4MSep 29, 2022 to Mar 30, 2023
- Accounts · 221 to 222Mar 22, 2021 to Mar 25, 2022
- HNW clients · 80 to 35Mar 22, 2021 to Mar 25, 2022
- Individual clients · 140 to 82Mar 22, 2021 to Mar 25, 2022
- Assets in custody · unset to 1214485.0Mar 22, 2021 to Mar 25, 2022
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
- 585-218-0310reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-218-0338reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- O••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 585-218-0310reportedpublic record, Form ADV, Mar 27, 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
- $67.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026