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

A••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserAmherst, New YorkCRD 112998SEC 801-19111IAPD
Latest filing Mar 16, 2020
First filing on the tape Mar 23, 2012 · 10 filings
RAUM
$25.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$25.3M as of Mar 16, 2020
Mar 23, 2012$35.4M then
HNW client RAUM$22.1M as of Mar 16, 2020
Mar 29, 2018$25.0M then
State-registered IARs (5.B.3)2 as of Mar 16, 2020
Mar 23, 20120 then
Employees (5.A)3 as of Mar 16, 2020
Mar 22, 20134 then
Private funds: no history
RAUM +0.7% over the last fiscal year-2.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2020; every figure names its basis
RAUM per advisor
$12.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$902,925derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-10%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$22.1M88%
  • Individuals$3.2M12%
Individual clients
10reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
28reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C••••••••• J••••• A••••• · Chairman Of The Board, Ceocontrol
        since 03/2004 · owns 50% to 75%
      • T••••• W••• D••••• · Director, Pres., Sec.-Treas., Chief Compliance Officercontrol
        since 03/2004 · owns 50% to 75%
      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 · 30 to 28
        Mar 28, 2019 to Mar 16, 2020
      • HNW clients · 9 to 8
        Mar 28, 2019 to Mar 16, 2020
      • Individual clients · 11 to 10
        Mar 28, 2019 to Mar 16, 2020
      • Discretionary RAUM · $25.1M to $25.3M
        Mar 28, 2019 to Mar 16, 2020
      • HNW RAUM · $22.2M to $22.1M
        Mar 28, 2019 to Mar 16, 2020
      • Individual RAUM · $2.9M to $3.2M
        Mar 28, 2019 to Mar 16, 2020
      • RAUM · $25.1M to $25.3M
        Mar 28, 2019 to Mar 16, 2020
      • Accounts · 40 to 30
        Mar 29, 2018 to Mar 28, 2019
      • Advisory employees · 3 to 2
        Mar 29, 2018 to Mar 28, 2019
      • HNW clients · 11 to 9
        Mar 29, 2018 to Mar 28, 2019
      • Individual clients · 14 to 11
        Mar 29, 2018 to Mar 28, 2019
      • Employees · 4 to 3
        Mar 29, 2018 to Mar 28, 2019
      • State-registered IARs · 3 to 2
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $28.7M to $25.1M
        Mar 29, 2018 to Mar 28, 2019
      • HNW RAUM · $25.0M to $22.2M
        Mar 29, 2018 to Mar 28, 2019
      • Individual RAUM · $3.7M to $2.9M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $28.7M to $25.1M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 44 to 40
        Mar 24, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • HNW clients · unset to 11.0
        Mar 24, 2017 to Mar 29, 2018
      • Individual clients · unset to 14.0
        Mar 24, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • Discretionary RAUM · $27.1M to $28.7M
        Mar 24, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 24968921.0
        Mar 24, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 3700489.0
        Mar 24, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 24, 2017 to Mar 29, 2018
      • RAUM · $27.1M to $28.7M
        Mar 24, 2017 to Mar 29, 2018
      • Accounts · 46 to 44
        Jun 27, 2016 to Mar 24, 2017
      • Discretionary RAUM · $26.3M to $27.1M
        Jun 27, 2016 to Mar 24, 2017
      • RAUM · $26.3M to $27.1M
        Jun 27, 2016 to Mar 24, 2017
      • Accounts · 49 to 46
        Jan 14, 2015 to Mar 22, 2016
      • Discretionary RAUM · $26.4M to $26.3M
        Jan 14, 2015 to Mar 22, 2016
      • RAUM · $26.4M to $26.3M
        Jan 14, 2015 to Mar 22, 2016
      • Accounts · 47 to 49
        Mar 31, 2014 to Jan 14, 2015
      • Discretionary RAUM · $26.9M to $26.4M
        Mar 31, 2014 to Jan 14, 2015
      • RAUM · $26.9M to $26.4M
        Mar 31, 2014 to Jan 14, 2015
      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