DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••••• F•••••••• A•••••••

Former SEC-registered adviserFormer SEC adviser· Pittsford, New York

Former SEC-registered adviser, based in Pittsford, New York, reporting $633M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$633M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+4.6%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 12.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 110125 · SEC 801-18453 · 8 filingsShow
CRD 110125SEC 801-18453Legal name T••••••• W••••• M••••••••• I•••First filing on the tape Mar 30, 2012, latest Mar 31, 2014IAPD
RAUM
$633M
reported, Item 5.F
Discretionary
100%
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
19
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$633M as of Mar 31, 2014
Mar 30, 2012$584M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 31, 2014
Mar 27, 201312 then
Employees (5.A)19 as of Mar 31, 2014
Mar 27, 201322 then
Private funds: no history
RAUM +4.6% over the last fiscal yearIARs 12 to 10
Practice profile
derived from the filing of Mar 31, 2014; every figure names its basis
RAUM per advisor
$63.3MderivedRAUM 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
$458,214derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
3.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+4.6%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 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 consultingreportedItem 5.G
Custody
$8.5M, 18 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.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
1,381reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$8.5M for 18 clientsreported
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
      • A••••••• S••••••• M•••••• · P•••••••• T••••••• F•••••••• A••••••• • T•• M••••••••• I•••control
        since 02/2014 · owns less than 5%
      • B••••••••• M••••••• · Managing Director Central New Yorkcontrol
        since 01/2011 · owns less than 5%
      • F••••••••• D•••••• J•••• · Directorcontrol
        since 05/2011 · owns less than 5%
      • F•••••• J••••• W••••• · Directorcontrol
        since 05/2011 · owns less than 5%
      • G•••••• S••••• L• · Directorcontrol
        since 08/2013 · owns less than 5%
      • H•••••• L•••••• A•• · Managing Director Western New Yorkcontrol
        since 09/2011 · owns less than 5%
      • H••••• G••••••• J••• · Chairman Of The Boardcontrol
        since 05/2011 · owns less than 5%
      • H•••••• C•••• E• · Directorcontrol
        since 05/2011 · owns less than 5%
      • K••••• G•••••• J••••• · Directorcontrol
        since 05/2011 · owns less than 5%
      • O•••••• T••••••• C••••••• · Managing Director Hudson Valleycontrol
        since 02/2011 · owns less than 5%
      • P•••••• S•••• · Vp Human Resourcescontrol
        since 01/2011 · owns less than 5%
      • R••••••• S••••••• S• · Directorcontrol
        since 01/2007 · owns less than 5%
      • M•••• R•••••• W•••••• · Managing Director Pennsylvania
        since 05/2013 · owns less than 5%
      • W•••••• C••••••••• A••• · Chief Compliance Officer
        since 04/2010 · owns less than 5%
      Entity owners
      • T•• M••••••••• I••• F•••• A••• F•••••••• S•••••••• I••• · Parent Company
        direct · owns 75% or more
      • T••••••• F•••••••• C••••••••• · P••••• C•••••• O• T•• M••••••••• I•••
        indirect · owns 75% or more of Tfa M•••••••• Inc. F/K/A A••• Financial Services, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Ithaca, NY
      • White Plains, NY
      What changed
      consecutive filings, newest first
      • Accounts · 1,579 to 1,381
        Sep 5, 2013 to Mar 31, 2014
      • Advisory employees · 21 to 18
        Sep 5, 2013 to Mar 31, 2014
      • Advisory activities · 5 to 4
        Sep 5, 2013 to Mar 31, 2014
      • BD registered reps · 21 to 18
        Sep 5, 2013 to Mar 31, 2014
      • Assets in custody · $19.3M to $8.5M
        Sep 5, 2013 to Mar 31, 2014
      • Employees · 22 to 19
        Sep 5, 2013 to Mar 31, 2014
      • State-registered IARs · 12 to 10
        Sep 5, 2013 to Mar 31, 2014
      • Discretionary RAUM · $605M to $633M
        Sep 5, 2013 to Mar 31, 2014
      • RAUM · $605M to $633M
        Sep 5, 2013 to Mar 31, 2014
      • Accounts · 1,663 to 1,579
        Nov 16, 2012 to Mar 27, 2013
      • Advisory employees · 24 to 21
        Nov 16, 2012 to Mar 27, 2013
      • BD registered reps · 23 to 21
        Nov 16, 2012 to Mar 27, 2013
      • Assets in custody · $7.5M to $19.3M
        Nov 16, 2012 to Mar 27, 2013
      • Employees · 34 to 22
        Nov 16, 2012 to Mar 27, 2013
      • Discretionary RAUM · $584M to $605M
        Nov 16, 2012 to Mar 27, 2013
      • RAUM · $584M to $605M
        Nov 16, 2012 to Mar 27, 2013
      • Advisory employees · unset to 24.0
        Apr 17, 2012 to Nov 16, 2012
      • BD registered reps · unset to 23.0
        Apr 17, 2012 to Nov 16, 2012
      • Employees · unset to 34.0
        Apr 17, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 12.0
        Apr 17, 2012 to Nov 16, 2012
      • Legal name · A••• PLA•••RS INC to T••••••• W••••• M••••••••• I•••
        Nov 16, 2012 to Nov 16, 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