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•••• F•••••••• A•••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Mar 26, 2012 · 64 filings
SEC status approved since Apr 9, 1981
RAUM
$975M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$975M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
64 filings and snapshots on the tape
RAUM$863M as of May 18, 2026
Mar 26, 2012$224M then
HNW client RAUM$668M as of May 18, 2026
Mar 27, 2018$210M then
State-registered IARs (5.B.3)8 as of May 18, 2026
Mar 26, 20120 then
Employees (5.A)15 as of May 18, 2026
Mar 15, 201310 then
Private funds: no history
RAUM +43% over the last fiscal year+23% a year over threeIARs 7 to 8offices 1 to 5
Practice profile
derived from the filing of Sep 3, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $434,965derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $365M, 365 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$793M81%
- Individuals$182M19%
- Individual clients
- 439reported
- HNW clients
- 289reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,242reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $365M for 365 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• M•••• B••••••Certified Financial Planner | East Amherst, Ny | Oct 4, 2013 | 39 y | 0 |
| S••••• M••• E•••••Certified Financial Planner | East Amherst, Ny | Mar 18, 2015 | 19 y | 0 |
| M•••••• C•••••• A••••••••Certified Financial Planner | East Amherst, Ny | Jul 29, 2020 | 30 y | 0 |
| E•••• F•• M•••••Certified Financial Planner | East Amherst, Ny | Jul 23, 2021 | 14 y | 0 |
| W•••••• G••••• J••••Certified Financial Planner, Chartered Financial Consultant | Wellsville, Ny | Aug 13, 2021 | 45 y | 2 |
| A••••• N••••• B•••••••Certified Financial Planner | East Amherst, Ny | Jun 30, 2023 | 14 y | 0 |
| L•••• J••• M••••••Certified Financial Planner | East Amherst, Ny | Jan 6, 2025 | 11 y | 0 |
| E••• D•••• L•••••Certified Financial Planner | Hemet, Ca | Apr 16, 2025 | 19 y | 3 |
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 headcount1 left over 36 months
Left, latest
- P••• J• C•••••• to F••• T••• F•••••••• L••Nov 18, 2024 · RIA to a state-registered adviser
Joined, latest
- E••• D•••• L••••• from L••••• F•••••••• C•••••••••Apr 16, 2025 · Other
- W•••••• G••••• J•••• from C•••••• G•••• • C• I••Nov 1, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R••••••• M•••• · Presidentcontrolsince 07/2008 · owns 50% to 75%
- E•••••• S•••••• M••• · Chief Investment Officercontrolsince 01/2019 · owns 25% to 50%
- H•••••• M••••••• C•••• · Chief Operating Officercontrolsince 03/2015 · owns 5% to 10%
- M•••••• E••••• F•• · Director Of Client Servicescontrolsince 01/2023 · owns less than 5%
- W•••••• B••••••• M•• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| East Amherst, Ny · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hamburg, NY6 employees
What changed
consecutive filings, newest first
- Accounts · 2,137 to 2,242May 18, 2026 to Sep 3, 2026
- Advisory employees · 9 to 10May 18, 2026 to Sep 3, 2026
- HNW clients · 242 to 289May 18, 2026 to Sep 3, 2026
- Individual clients · 463 to 439May 18, 2026 to Sep 3, 2026
- Assets in custody · $308M to $365MMay 18, 2026 to Sep 3, 2026
- Employees · 15 to 16May 18, 2026 to Sep 3, 2026
- Financial planning clients · More than 500 to More than 500May 18, 2026 to Sep 3, 2026
- Discretionary RAUM · $838M to $953MMay 18, 2026 to Sep 3, 2026
- HNW RAUM · $668M to $793MMay 18, 2026 to Sep 3, 2026
- Individual RAUM · $195M to $182MMay 18, 2026 to Sep 3, 2026
- Non-discretionary RAUM · $24.9M to $21.7MMay 18, 2026 to Sep 3, 2026
- RAUM · $863M to $975MMay 18, 2026 to Sep 3, 2026
- Related adviser · false to unsetMay 18, 2026 to Sep 3, 2026
- Related bank · false to unsetMay 18, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMay 18, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMay 18, 2026 to Sep 3, 2026
- Succession · false to unsetMay 18, 2026 to Sep 3, 2026
- Other offices · 4 to 5Mar 23, 2026 to May 18, 2026
- Accounts · 2,160 to 2,137Jan 29, 2026 to Mar 23, 2026
- HNW clients · 256 to 242Jan 29, 2026 to Mar 23, 2026
- Individual clients · 441 to 463Jan 29, 2026 to Mar 23, 2026
- Assets in custody · $868M to $308MJan 29, 2026 to Mar 23, 2026
- Discretionary RAUM · $841M to $838MJan 29, 2026 to Mar 23, 2026
- HNW RAUM · $691M to $668MJan 29, 2026 to Mar 23, 2026
- Individual RAUM · $178M to $195MJan 29, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $27.0M to $24.9MJan 29, 2026 to Mar 23, 2026
- RAUM · $868M to $863MJan 29, 2026 to Mar 23, 2026
- Accounts · 1,957 to 2,160Oct 1, 2025 to Jan 29, 2026
- HNW clients · 206 to 256Oct 1, 2025 to Jan 29, 2026
- Individual clients · 422 to 441Oct 1, 2025 to Jan 29, 2026
- Assets in custody · $684M to $868MOct 1, 2025 to Jan 29, 2026
- Discretionary RAUM · $684M to $841MOct 1, 2025 to Jan 29, 2026
- HNW RAUM · $523M to $691MOct 1, 2025 to Jan 29, 2026
- Individual RAUM · $161M to $178MOct 1, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $0 to $27.0MOct 1, 2025 to Jan 29, 2026
- RAUM · $684M to $868MOct 1, 2025 to Jan 29, 2026
- Advisory employees · 8 to 9Apr 10, 2025 to Aug 13, 2025
- State-registered IARs · 7 to 8Apr 10, 2025 to Aug 13, 2025
- Other offices · 1 to 4Apr 10, 2025 to Aug 13, 2025
- Accounts · 1,965 to 1,957Nov 18, 2024 to Apr 10, 2025
Signals
4 dated events
- L•••• F•••••••• A•••••••• I••• reported RAUM $868.4M, up 27% from $684.2M (2025-10-01 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- P••• J• C•••••• left L•••• F•••••••• A•••••••• I••• for F••• T••• F•••••••• L•• (registered 2025-03-14)Nov 18, 2024 · Advisor changed firm · fact
- May B•••••• W••••• (Chief Compliance Officer) appeared on Schedule A of L•••• F•••••••• A•••••••• I•••Mar 12, 2024 · Control person joined · fact
- Fay Elise Murphy (Director Of Client Services) appeared on Schedule A of L•••• F•••••••• A•••••••• I•••Jan 3, 2023 · Control person joined · fact
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 phone
- 626-509-8701reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-634-3787reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-634-6113reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10531695reportedpublic record, Form ADV, Sep 18, 2026
- Website
- L••••FA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-634-6113reportedpublic record, Form ADV, Sep 3, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026