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
L••••••• W••••• M•••••••••
Legal name B••••• W•••• I••••••••• A•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 15, 2012 · 30 filings
SEC status approved since Apr 5, 2012
RAUM
$680M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
95%
$648M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$680M as of Mar 18, 2026
Jan 23, 2013$81.3M then
HNW client RAUM$513M as of Mar 18, 2026
Feb 26, 2018$123M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Jan 23, 20130 then
Employees (5.A)8 as of Mar 18, 2026
Jan 23, 20133 then
Private funds: no history
RAUM +10% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 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
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $189M, 115 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$513M75%
- Individuals$135M20%
- Charitable organizations$15.8M2.3%
- Corporations and businesses$13.3M2.0%
- State and municipal entities$2.9M0.4%
- Individual clients
- 112reported
- HNW clients
- 175reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 298reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $189M for 115 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| L•••••• J••• D•••••••Certified Financial Planner | Getzville, Ny | Mar 8, 2021 | 10 y | 0 |
| M••• P•••••• C•••••• | Getzville, Ny | Apr 8, 2021 | 25 y | 2 |
| B•••• K• L•••••Certified Financial Planner, Personal Financial Specialist | Getzville, Ny | Nov 17, 2022 | 25 y | 0 |
| D••••• B•••••••Certified Financial Planner | Getzville, Ny | Jul 2, 2024 | 14 y | 0 |
| W••••• A•••••Certified Financial Planner | Getzville, Ny | Jun 25, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W••••• A••••• from O••••••• • D•••• I•••Jun 25, 2026 · Other
- M••• P•••••• C•••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Apr 8, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J•••••• J• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- C••••••• M•••• P•••••• · Managing Membercontrolsince 01/2005 · owns 75% or more of O•••••• A•••••••• I•••
- L•••••• B••••• K• · Managing Membercontrolsince 11/2011 · owns 75% or more of L••••••• W••••• A•••••••• L••
- K•••••••• E•••••• G••••• · Membersince 11/1999 · owns less than 5%
Entity owners
- L••••••• W••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
- O•••••• A•••••••• I••• · Memberdirect · owns 25% to 50%
- C••••••• T••••• B•••• • K••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••• T••••• B•••• • K••••••• L••insurancey
- L••••••• T•• A•••••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Getzville, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 279 to 298Mar 20, 2025 to Mar 18, 2026
- HNW clients · 158 to 175Mar 20, 2025 to Mar 18, 2026
- Individual clients · 113 to 112Mar 20, 2025 to Mar 18, 2026
- Assets in custody · $20.9M to $189MMar 20, 2025 to Mar 18, 2026
- Discretionary RAUM · $518M to $568MMar 20, 2025 to Mar 18, 2026
- HNW RAUM · $465M to $513MMar 20, 2025 to Mar 18, 2026
- Individual RAUM · $130M to $135MMar 20, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $98.2M to $112MMar 20, 2025 to Mar 18, 2026
- RAUM · $616M to $680MMar 20, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Feb 14, 2025 to Mar 20, 2025
- Accounts · 252 to 279Jul 2, 2024 to Feb 14, 2025
- Advisory employees · 5 to 4Jul 2, 2024 to Feb 14, 2025
- Charity clients · 6 to 7Jul 2, 2024 to Feb 14, 2025
- HNW clients · 145 to 158Jul 2, 2024 to Feb 14, 2025
- Individual clients · 100 to 113Jul 2, 2024 to Feb 14, 2025
- Assets in custody · $20.5M to $20.9MJul 2, 2024 to Feb 14, 2025
- Employees · 7 to 8Jul 2, 2024 to Feb 14, 2025
- Discretionary RAUM · $391M to $518MJul 2, 2024 to Feb 14, 2025
- HNW RAUM · $345M to $465MJul 2, 2024 to Feb 14, 2025
- Individual RAUM · $104M to $130MJul 2, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $80.3M to $98.2MJul 2, 2024 to Feb 14, 2025
- RAUM · $471M to $616MJul 2, 2024 to Feb 14, 2025
- Accounts · 244 to 252Jan 19, 2023 to Jan 18, 2024
- Charity clients · 5 to 6Jan 19, 2023 to Jan 18, 2024
- HNW clients · 132 to 145Jan 19, 2023 to Jan 18, 2024
- Individual clients · 103 to 100Jan 19, 2023 to Jan 18, 2024
- Assets in custody · $18.6M to $20.5MJan 19, 2023 to Jan 18, 2024
- Employees · 6 to 7Jan 19, 2023 to Jan 18, 2024
- Discretionary RAUM · $327M to $391MJan 19, 2023 to Jan 18, 2024
- HNW RAUM · $282M to $345MJan 19, 2023 to Jan 18, 2024
- Individual RAUM · $93.3M to $104MJan 19, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $64.1M to $80.3MJan 19, 2023 to Jan 18, 2024
- RAUM · $391M to $471MJan 19, 2023 to Jan 18, 2024
- Accounts · 235 to 244Feb 2, 2022 to Jan 19, 2023
- Individual clients · 97 to 103Feb 2, 2022 to Jan 19, 2023
- Assets in custody · $20.5M to $18.6MFeb 2, 2022 to Jan 19, 2023
- Employees · 7 to 6Feb 2, 2022 to Jan 19, 2023
- Discretionary RAUM · $347M to $327MFeb 2, 2022 to Jan 19, 2023
- HNW RAUM · $299M to $282MFeb 2, 2022 to Jan 19, 2023
- Individual RAUM · $105M to $93.3MFeb 2, 2022 to Jan 19, 2023
Signals
1 dated events
- L••••••• W••••• M••••••••• reported RAUM $615.9M, up 31% from $470.9M (2024-07-02 to 2025-02-14)Feb 14, 2025 · RAUM change · 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 email
- info@landmarkfirm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-810-9594reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L•••••••FIRM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 716-810-9594reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- LANDMARKFIRM.COM/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- LANDMARKFIRM.COM/about/teamreportedpublished by the firm, firm site, Sep 17, 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026