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

I••••• W••••• S••••••••• L••

Former SEC-registered adviserRochester, New YorkCRD 108945SEC 801-78029IAPD
Latest filing Apr 4, 2019
First filing on the tape May 1, 2013 · 12 filings
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$148M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$148M as of Feb 8, 2019
Feb 24, 2014$65.2M then
HNW client RAUM$126M as of Feb 8, 2019
Mar 4, 2018$128M then
State-registered IARs (5.B.3)0 as of Feb 8, 2019
Feb 24, 20141 then
Employees (5.A)3 as of Feb 8, 2019
Feb 24, 20142 then
Private funds: no history
RAUM +3.8% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 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
$3.6MderivedHNW RAUM over HNW clients
Average account
$458,709derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+28%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$126M85%
  • Individuals$22.1M15%
Individual clients
62reported
HNW clients
35reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
322reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • I•••••• F••••• A• · Managing Membercontrol
        since 10/1998 · owns 75% or more
      • I•••••• S•••••• B• · Chief Compliance Officercontrol
        since 12/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Orchard Park, NY1 employees
      What changed
      consecutive filings, newest first
      • Custody of client assets · true to false
        Feb 8, 2019 to Apr 4, 2019
      • Accounts · 294 to 322
        Nov 20, 2018 to Feb 8, 2019
      • Individual clients · 41 to 62
        Nov 20, 2018 to Feb 8, 2019
      • Discretionary RAUM · $142M to $148M
        Nov 20, 2018 to Feb 8, 2019
      • HNW RAUM · $128M to $126M
        Nov 20, 2018 to Feb 8, 2019
      • Individual RAUM · $13.9M to $22.1M
        Nov 20, 2018 to Feb 8, 2019
      • RAUM · $142M to $148M
        Nov 20, 2018 to Feb 8, 2019
      • Accounts · 230 to 294
        Feb 11, 2017 to Mar 4, 2018
      • Charity clients · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • Corporate clients · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • HNW clients · unset to 35.0
        Feb 11, 2017 to Mar 4, 2018
      • Individual clients · unset to 41.0
        Feb 11, 2017 to Mar 4, 2018
      • Pension plan clients · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • Other offices · unset to 1.0
        Feb 11, 2017 to Mar 4, 2018
      • Discretionary RAUM · $118M to $142M
        Feb 11, 2017 to Mar 4, 2018
      • HNW RAUM · unset to 128434276.0
        Feb 11, 2017 to Mar 4, 2018
      • Individual RAUM · unset to 13867145.0
        Feb 11, 2017 to Mar 4, 2018
      • Pension RAUM · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 11, 2017 to Mar 4, 2018
      • RAUM · $118M to $142M
        Feb 11, 2017 to Mar 4, 2018
      • Accounts · 172 to 230
        Mar 8, 2016 to Feb 11, 2017
      • Discretionary RAUM · $88.0M to $118M
        Mar 8, 2016 to Feb 11, 2017
      • RAUM · $88.0M to $118M
        Mar 8, 2016 to Feb 11, 2017
      • Related insurance company · true to false
        Mar 8, 2016 to Feb 11, 2017
      • Accounts · 96 to 172
        Mar 26, 2015 to Mar 8, 2016
      • Advisory activities · 3 to 5
        Mar 26, 2015 to Mar 8, 2016
      • Financial planning clients · unset to 1-10
        Mar 26, 2015 to Mar 8, 2016
      • Discretionary RAUM · $72.0M to $88.0M
        Mar 26, 2015 to Mar 8, 2016
      • RAUM · $72.0M to $88.0M
        Mar 26, 2015 to Mar 8, 2016
      • Accounts · 76 to 96
        Nov 3, 2014 to Mar 26, 2015
      • Advisory employees · 1 to 2
        Nov 3, 2014 to Mar 26, 2015
      • Assets in custody · unset to 0.0
        Nov 3, 2014 to Mar 26, 2015
      • Custody of client assets · false to true
        Nov 3, 2014 to Mar 26, 2015
      • Employees · 2 to 3
        Nov 3, 2014 to Mar 26, 2015
      • Discretionary RAUM · $65.2M to $72.0M
        Nov 3, 2014 to Mar 26, 2015
      • RAUM · $65.2M to $72.0M
        Nov 3, 2014 to Mar 26, 2015
      • Advisory activities · 2 to 3
        Feb 24, 2014 to Nov 3, 2014
      • State-registered IARs · 1 to 0
        Feb 24, 2014 to Nov 3, 2014
      • Accounts · 80 to 76
        Aug 28, 2013 to Feb 24, 2014
      Signals
      1 dated events
      • I••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
        May 1, 2013 · First SEC registration · fact
      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