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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

Q•• A•••• M••••••••• I••

Former SEC-registered adviserPittsford, New YorkCRD 110324SEC 801-12815IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$4.5B
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
39%
$1.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.5B as of Mar 31, 2021
Mar 30, 2012$2.0B then
HNW client RAUM$1.6B as of Mar 31, 2021
Mar 28, 2018$1.4B then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)32 as of Mar 31, 2021
Apr 1, 201312 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$2.8MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$2.1B46%
  • High-net-worth individuals$1.6B35%
  • Corporations and businesses$484M11%
  • Individuals$181M4.0%
  • State and municipal entities$84.8M1.9%
  • Investment companies$72.2M1.6%
  • Charitable organizations$41.8M0.9%
Individual clients
702reported
HNW clients
572reported
Pension plan clients
88reported
Charitable clients
21reported
Accounts
3,225reported
Financial planning clients
101-250reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• H•••••• E••••• · Presidentcontrol
      since 07/1994 · owns 75% or more
    • F••••••••• G••••• · Principal/Portfolio Manager
      since 10/2017 · owns 5% to 10%
    • K•••••• D••••• F•••• · Chief Compliance Officer
      since 07/1994 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 3,426 to 3,225
      Jun 24, 2020 to Mar 31, 2021
    • Advisory employees · 13 to 15
      Jun 24, 2020 to Mar 31, 2021
    • Charity clients · 42 to 21
      Jun 24, 2020 to Mar 31, 2021
    • Corporate clients · 46 to 28
      Jun 24, 2020 to Mar 31, 2021
    • HNW clients · 489 to 572
      Jun 24, 2020 to Mar 31, 2021
    • Individual clients · 811 to 702
      Jun 24, 2020 to Mar 31, 2021
    • Pension plan clients · 120 to 88
      Jun 24, 2020 to Mar 31, 2021
    • Employees · 26 to 32
      Jun 24, 2020 to Mar 31, 2021
    • Discretionary RAUM · $2.1B to $2.5B
      Jun 24, 2020 to Mar 31, 2021
    • HNW RAUM · $1.2B to $1.6B
      Jun 24, 2020 to Mar 31, 2021
    • Individual RAUM · $176M to $181M
      Jun 24, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $1.7B to $2.0B
      Jun 24, 2020 to Mar 31, 2021
    • Pension RAUM · $1.9B to $2.1B
      Jun 24, 2020 to Mar 31, 2021
    • RAUM · $3.8B to $4.5B
      Jun 24, 2020 to Mar 31, 2021
    • Accounts · 3,225 to 3,426
      Sep 30, 2019 to Mar 30, 2020
    • Charity clients · 32 to 42
      Sep 30, 2019 to Mar 30, 2020
    • Corporate clients · 47 to 46
      Sep 30, 2019 to Mar 30, 2020
    • HNW clients · 444 to 489
      Sep 30, 2019 to Mar 30, 2020
    • Individual clients · 715 to 811
      Sep 30, 2019 to Mar 30, 2020
    • Pension plan clients · 106 to 120
      Sep 30, 2019 to Mar 30, 2020
    • Employees · 24 to 26
      Sep 30, 2019 to Mar 30, 2020
    • Discretionary RAUM · $2.0B to $2.1B
      Sep 30, 2019 to Mar 30, 2020
    • HNW RAUM · $1.1B to $1.2B
      Sep 30, 2019 to Mar 30, 2020
    • Individual RAUM · $134M to $176M
      Sep 30, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $1.2B to $1.7B
      Sep 30, 2019 to Mar 30, 2020
    • Pension RAUM · $1.4B to $1.9B
      Sep 30, 2019 to Mar 30, 2020
    • RAUM · $3.3B to $3.8B
      Sep 30, 2019 to Mar 30, 2020
    • Accounts · 3,034 to 3,225
      Jan 16, 2019 to Mar 27, 2019
    • Charity clients · 31 to 32
      Jan 16, 2019 to Mar 27, 2019
    • Corporate clients · 0 to 47
      Jan 16, 2019 to Mar 27, 2019
    • HNW clients · 565 to 444
      Jan 16, 2019 to Mar 27, 2019
    • Individual clients · 450 to 715
      Jan 16, 2019 to Mar 27, 2019
    • Pension plan clients · 107 to 106
      Jan 16, 2019 to Mar 27, 2019
    • Employees · 18 to 24
      Jan 16, 2019 to Mar 27, 2019
    • Discretionary RAUM · $1.9B to $2.0B
      Jan 16, 2019 to Mar 27, 2019
    • HNW RAUM · $1.4B to $1.1B
      Jan 16, 2019 to Mar 27, 2019
    • Individual RAUM · $119M to $134M
      Jan 16, 2019 to Mar 27, 2019
    • Non-discretionary RAUM · $1.3B to $1.2B
      Jan 16, 2019 to Mar 27, 2019
    • Pension RAUM · $1.6B to $1.4B
      Jan 16, 2019 to Mar 27, 2019
    • RAUM · $3.2B to $3.3B
      Jan 16, 2019 to Mar 27, 2019
    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