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

C•••••• C•••••• C•••••••••

Former SEC-registered adviserBuffalo, New YorkCRD 109908SEC 801-7457IAPD
Latest filing Apr 12, 2016
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.2B as of Apr 12, 2016
Mar 29, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 12, 2016
Mar 28, 20130 then
Employees (5.A)12 as of Apr 12, 2016
Mar 28, 201315 then
Private funds: no history
RAUM -3.3% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 2016; 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
unknownderivedHNW RAUM over HNW clients
Average account
$998,949derivedRAUM over accounts (5.F.2.f)
Discretionary
82%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
-3.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,188reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • G•••••• W••••••• H•••• · Secretarycontrol
        since 12/2006 · owns 25% to 50%
      • H•••••• T•••••• J•••• · Director Of Retirement Plan Servicescontrol
        since 01/2010 · owns less than 5%
      • K••• B••••• B•••• · President & Chief Compliance Officercontrol
        since 01/2000 · owns 25% to 50%
      • O••••••• R••••• M•••••• · Treasurercontrol
        since 02/1991 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list C•••••• C•••••• C••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • J••••Town, NY
      What changed
      consecutive filings, newest first
      • Accounts · 1,112 to 1,188
        Aug 25, 2015 to Apr 12, 2016
      • Discretionary RAUM · $982M to $971M
        Aug 25, 2015 to Apr 12, 2016
      • Non-discretionary RAUM · $245M to $216M
        Aug 25, 2015 to Apr 12, 2016
      • RAUM · $1.2B to $1.2B
        Aug 25, 2015 to Apr 12, 2016
      • Related adviser · true to false
        Aug 25, 2015 to Apr 12, 2016
      • Accounts · 1,115 to 1,112
        Mar 20, 2014 to Mar 31, 2015
      • Employees · 14 to 12
        Mar 20, 2014 to Mar 31, 2015
      • Financial planning clients · 0 to 1-10
        Mar 20, 2014 to Mar 31, 2015
      • Discretionary RAUM · $757M to $982M
        Mar 20, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $428M to $245M
        Mar 20, 2014 to Mar 31, 2015
      • RAUM · $1.2B to $1.2B
        Mar 20, 2014 to Mar 31, 2015
      • Accounts · 1,038 to 1,115
        Mar 28, 2013 to Mar 20, 2014
      • Advisory employees · 8 to 6
        Mar 28, 2013 to Mar 20, 2014
      • Advisory activities · 5 to 6
        Mar 28, 2013 to Mar 20, 2014
      • Employees · 15 to 14
        Mar 28, 2013 to Mar 20, 2014
      • Financial planning clients · 1-10 to 0
        Mar 28, 2013 to Mar 20, 2014
      • Discretionary RAUM · $632M to $757M
        Mar 28, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $1.2B to $428M
        Mar 28, 2013 to Mar 20, 2014
      • RAUM · $1.9B to $1.2B
        Mar 28, 2013 to Mar 20, 2014
      • Accounts · 1,428 to 1,038
        Apr 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Apr 20, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Apr 20, 2012 to Mar 28, 2013
      • Employees · unset to 15.0
        Apr 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $690M to $632M
        Apr 20, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $1.1B to $1.2B
        Apr 20, 2012 to Mar 28, 2013
      • RAUM · $1.8B to $1.9B
        Apr 20, 2012 to Mar 28, 2013
      • Accounts · 1,427 to 1,428
        Apr 19, 2012 to Apr 20, 2012
      • Non-discretionary RAUM · $661M to $1.1B
        Apr 19, 2012 to Apr 20, 2012
      • RAUM · $1.4B to $1.8B
        Apr 19, 2012 to Apr 20, 2012
      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.
      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