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
M•••••• G•••• • C•••••• I•••
Legal name M••••• G•••• • C• I•••
Latest filing Mar 19, 2026
First filing on the tape Feb 16, 2012 · 23 filings
SEC status approved since Feb 10, 1986
RAUM
$183M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
93%
$169M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$36.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$183M as of Mar 19, 2026
Feb 16, 2012$185M then
HNW client RAUM$159M as of Mar 19, 2026
Mar 14, 2018$19.1M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Feb 16, 20120 then
Employees (5.A)5 as of Mar 19, 2026
Jan 30, 20135 then
Private funds: no history
RAUM +7.9% over the last fiscal year+9.0% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $36.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $792,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourlyreportedItem 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M87%
- Charitable organizations$12.3M6.7%
- Individuals$10.0M5.5%
- Pension and profit-sharing plans$1.3M0.7%
- Individual clients
- 35reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 231reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L••• M•••••• J•Certified Financial Planner | Buffalo, Ny | Aug 10, 2021 | 29 y | 0 |
| H•••• Z••••• U•••• | Buffalo, Ny | Aug 13, 2021 | 25 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
- G••••• P•••• R•••••• · Presidentcontrolsince 05/1985 · owns 50% to 75%
- M•••••• J•• R•••••• L••• · Vice Presidentcontrolsince 05/1999 · owns 25% to 50%
- U••••• H••••• Z••••• · Chief Compliance Officercontrolsince 01/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sarasota, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): yes on the filing of 2025-07-28, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 244 to 231Jul 28, 2025 to Mar 19, 2026
- Advisory employees · 3 to 5Jul 28, 2025 to Mar 19, 2026
- Charity clients · unset to 5.0Jul 28, 2025 to Mar 19, 2026
- HNW clients · 39 to 40Jul 28, 2025 to Mar 19, 2026
- Individual clients · 48 to 35Jul 28, 2025 to Mar 19, 2026
- Assets in custody · $121M to $134MJul 28, 2025 to Mar 19, 2026
- Custody of client assets · true to falseJul 28, 2025 to Mar 19, 2026
- Employees · 3 to 5Jul 28, 2025 to Mar 19, 2026
- Insurance-licensed employees · 0 to 3Jul 28, 2025 to Mar 19, 2026
- State-registered IARs · 2 to 4Jul 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $121M to $131MJul 28, 2025 to Mar 19, 2026
- HNW RAUM · $147M to $159MJul 28, 2025 to Mar 19, 2026
- Individual RAUM · $10.4M to $10.0MJul 28, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $48.2M to $52.1MJul 28, 2025 to Mar 19, 2026
- Pension RAUM · $1.2M to $1.3MJul 28, 2025 to Mar 19, 2026
- RAUM · $170M to $183MJul 28, 2025 to Mar 19, 2026
- Financial planning clients · 51-100 to 51-100Mar 5, 2025 to Jul 28, 2025
- Related adviser · false to trueMar 5, 2025 to Jul 28, 2025
- Accounts · 234 to 244Jan 11, 2024 to Mar 5, 2025
- HNW clients · 40 to 39Jan 11, 2024 to Mar 5, 2025
- Individual clients · 55 to 48Jan 11, 2024 to Mar 5, 2025
- Assets in custody · $119M to $121MJan 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $118M to $121MJan 11, 2024 to Mar 5, 2025
- HNW RAUM · $131M to $147MJan 11, 2024 to Mar 5, 2025
- Individual RAUM · $10.5M to $10.4MJan 11, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $34.1M to $48.2MJan 11, 2024 to Mar 5, 2025
- Pension RAUM · $1.1M to $1.2MJan 11, 2024 to Mar 5, 2025
- RAUM · $152M to $170MJan 11, 2024 to Mar 5, 2025
- Accounts · 247 to 234Feb 1, 2023 to Jan 10, 2024
- HNW clients · 37 to 40Feb 1, 2023 to Jan 10, 2024
- Individual clients · 46 to 55Feb 1, 2023 to Jan 10, 2024
- Assets in custody · $114M to $119MFeb 1, 2023 to Jan 10, 2024
- Discretionary RAUM · $107M to $118MFeb 1, 2023 to Jan 10, 2024
- HNW RAUM · $128M to $131MFeb 1, 2023 to Jan 10, 2024
- Individual RAUM · $11.2M to $10.5MFeb 1, 2023 to Jan 10, 2024
- Non-discretionary RAUM · $34.6M to $34.1MFeb 1, 2023 to Jan 10, 2024
- Pension RAUM · $1.1M to $1.1MFeb 1, 2023 to Jan 10, 2024
- RAUM · $141M to $152MFeb 1, 2023 to Jan 10, 2024
- Accounts · 244 to 247Jan 20, 2022 to Jan 5, 2023
- HNW clients · 39 to 37Jan 20, 2022 to Jan 5, 2023
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 email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j•••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- p••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-852-7637reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-992-9747reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-852-7628reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••G••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 716 852-7628reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $36.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026