DFX Intelligence

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F••• C•••••• M••••••••• L••

Independent wealth managerSEC-registered· Rochester, New York

Independent wealth manager, based in Rochester, New York, reporting $138M of regulatory assets across 2 registered advisors.

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

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $138M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +10%
Private clients: 96%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Feb 2026, RAUM $125M to $138M (+10.2%) on the Form ADV filed 27 Feb 2026.

Every filed figure, and the identifiersCRD 114951 · SEC 801-60490 · 18 filingsShow

CRD 114951SEC 801-60490First filing on the tape Feb 15, 2012, latest Feb 27, 2026SEC status approved since Aug 17, 2001IAPD

RAUM

$138M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$132M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +7.5% a year over three years · the tape starts Feb 15, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$138M as of Feb 27, 2026

Feb 15, 2012$76.3M then

HNW client RAUM$114M as of Feb 27, 2026

Mar 20, 2018$81.5M then

State-registered IARs (5.B.3)0 as of Feb 27, 2026

Feb 15, 20130 then

Employees (5.A)2 as of Feb 27, 2026

Feb 15, 20133 then

Private funds: no history

RAUM +10% over the last fiscal year+7.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 27, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $68.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 54derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.9%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $101M, 53 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

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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

82% high-net-worth individuals, 13% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$114M82%
Individuals$18.0M13%
Charitable organizations$5.8M4.2%
Corporations and businesses$316,8150.2%

Individual clients: 53reported
HNW clients: 54reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 109reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $101M for 53 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 96% private clients, 0% pooled funds, 4% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M••• A•••••• F•••Chartered Financial Analyst	Rochester, Ny	May 5, 2021	25 y	0
D••••• W•••••••Chartered Financial Analyst	Rochester, Ny	Jul 15, 2021	20 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••• M•••• A•••••• · President & Chief Compliance Officercontrol
since 07/2001 · owns 75% or more
W•••••••• D••••• · Vice Presidentcontrol
since 03/2009 · 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
Rochester, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 108 to 109
Mar 17, 2025 to Feb 27, 2026
HNW clients · 55 to 54
Mar 17, 2025 to Feb 27, 2026
Individual clients · 51 to 53
Mar 17, 2025 to Feb 27, 2026
Assets in custody · $46.7M to $101M
Mar 17, 2025 to Feb 27, 2026
Discretionary RAUM · $125M to $138M
Mar 17, 2025 to Feb 27, 2026

Full history · 80 changes

HNW RAUM · $103M to $114M
Mar 17, 2025 to Feb 27, 2026
Individual RAUM · $15.7M to $18.0M
Mar 17, 2025 to Feb 27, 2026
RAUM · $125M to $138M
Mar 17, 2025 to Feb 27, 2026
Accounts · 114 to 108
Mar 15, 2024 to Mar 17, 2025
HNW clients · 57 to 55
Mar 15, 2024 to Mar 17, 2025
Individual clients · 55 to 51
Mar 15, 2024 to Mar 17, 2025
Assets in custody · $46.2M to $46.7M
Mar 15, 2024 to Mar 17, 2025
Financial planning clients · unset to
Mar 15, 2024 to Mar 17, 2025
Discretionary RAUM · $118M to $125M
Mar 15, 2024 to Mar 17, 2025
HNW RAUM · $95.9M to $103M
Mar 15, 2024 to Mar 17, 2025
Individual RAUM · $16.3M to $15.7M
Mar 15, 2024 to Mar 17, 2025
RAUM · $118M to $125M
Mar 15, 2024 to Mar 17, 2025
Accounts · 115 to 114
Mar 17, 2023 to Mar 15, 2024
HNW clients · 54 to 57
Mar 17, 2023 to Mar 15, 2024
Individual clients · 59 to 55
Mar 17, 2023 to Mar 15, 2024
Assets in custody · $49.7M to $46.2M
Mar 17, 2023 to Mar 15, 2024
Discretionary RAUM · $111M to $118M
Mar 17, 2023 to Mar 15, 2024
HNW RAUM · $87.8M to $95.9M
Mar 17, 2023 to Mar 15, 2024
Individual RAUM · $16.9M to $16.3M
Mar 17, 2023 to Mar 15, 2024
RAUM · $111M to $118M
Mar 17, 2023 to Mar 15, 2024
Accounts · 114 to 115
Mar 2, 2022 to Mar 17, 2023
HNW clients · 53 to 54
Mar 2, 2022 to Mar 17, 2023
Assets in custody · $50.6M to $49.7M
Mar 2, 2022 to Mar 17, 2023
Discretionary RAUM · $114M to $111M
Mar 2, 2022 to Mar 17, 2023
HNW RAUM · $89.5M to $87.8M
Mar 2, 2022 to Mar 17, 2023
Individual RAUM · $17.3M to $16.9M
Mar 2, 2022 to Mar 17, 2023
RAUM · $114M to $111M
Mar 2, 2022 to Mar 17, 2023
Accounts · 117 to 114
Mar 19, 2021 to Mar 2, 2022
HNW clients · 54 to 53
Mar 19, 2021 to Mar 2, 2022
Individual clients · 61 to 59
Mar 19, 2021 to Mar 2, 2022
Assets in custody · $50.6M to $50.6M
Mar 19, 2021 to Mar 2, 2022
Discretionary RAUM · $112M to $114M
Mar 19, 2021 to Mar 2, 2022
HNW RAUM · $86.0M to $89.5M
Mar 19, 2021 to Mar 2, 2022
Individual RAUM · $18.3M to $17.3M
Mar 19, 2021 to Mar 2, 2022
RAUM · $112M to $114M
Mar 19, 2021 to Mar 2, 2022
Accounts · 105 to 117
Jun 24, 2020 to Mar 19, 2021
HNW clients · 46 to 54
Jun 24, 2020 to Mar 19, 2021
Individual clients · 57 to 61
Jun 24, 2020 to Mar 19, 2021
Assets in custody · $51.8M to $50.6M
Jun 24, 2020 to Mar 19, 2021
Discretionary RAUM · $106M to $112M
Jun 24, 2020 to Mar 19, 2021
HNW RAUM · $81.8M to $86.0M
Jun 24, 2020 to Mar 19, 2021
Individual RAUM · $17.7M to $18.3M
Jun 24, 2020 to Mar 19, 2021
RAUM · $106M to $112M
Jun 24, 2020 to Mar 19, 2021
Accounts · 110 to 105
Mar 13, 2019 to Mar 18, 2020
HNW clients · 47 to 46
Mar 13, 2019 to Mar 18, 2020
Individual clients · 61 to 57
Mar 13, 2019 to Mar 18, 2020
Assets in custody · $48.9M to $51.8M
Mar 13, 2019 to Mar 18, 2020
Discretionary RAUM · $102M to $106M
Mar 13, 2019 to Mar 18, 2020
HNW RAUM · $78.3M to $81.8M
Mar 13, 2019 to Mar 18, 2020
Individual RAUM · $17.3M to $17.7M
Mar 13, 2019 to Mar 18, 2020
RAUM · $102M to $106M
Mar 13, 2019 to Mar 18, 2020
Accounts · 112 to 110
Mar 20, 2018 to Mar 13, 2019
HNW clients · 52 to 47
Mar 20, 2018 to Mar 13, 2019
Individual clients · 58 to 61
Mar 20, 2018 to Mar 13, 2019
Assets in custody · $51.1M to $48.9M
Mar 20, 2018 to Mar 13, 2019
Discretionary RAUM · $104M to $102M
Mar 20, 2018 to Mar 13, 2019
HNW RAUM · $81.5M to $78.3M
Mar 20, 2018 to Mar 13, 2019
Individual RAUM · $15.4M to $17.3M
Mar 20, 2018 to Mar 13, 2019
RAUM · $104M to $102M
Mar 20, 2018 to Mar 13, 2019
Accounts · 116 to 112
Mar 16, 2017 to Mar 20, 2018
HNW clients · unset to 52.0
Mar 16, 2017 to Mar 20, 2018
Individual clients · unset to 58.0
Mar 16, 2017 to Mar 20, 2018
Assets in custody · unset to 51073474.0
Mar 16, 2017 to Mar 20, 2018
Custody of client assets · false to true
Mar 16, 2017 to Mar 20, 2018
Other offices · unset to 0.0
Mar 16, 2017 to Mar 20, 2018
Discretionary RAUM · $97.9M to $104M
Mar 16, 2017 to Mar 20, 2018
HNW RAUM · unset to 81479364.0
Mar 16, 2017 to Mar 20, 2018
Individual RAUM · unset to 15389158.0
Mar 16, 2017 to Mar 20, 2018
RAUM · $97.9M to $104M
Mar 16, 2017 to Mar 20, 2018
Accounts · 113 to 116
Feb 26, 2016 to Mar 16, 2017
Discretionary RAUM · $90.2M to $97.9M
Feb 26, 2016 to Mar 16, 2017
RAUM · $90.2M to $97.9M
Feb 26, 2016 to Mar 16, 2017
Accounts · 108 to 113
Mar 5, 2015 to Feb 26, 2016
Discretionary RAUM · $89.8M to $90.2M
Mar 5, 2015 to Feb 26, 2016
Non-discretionary RAUM · $3.6M to $0
Mar 5, 2015 to Feb 26, 2016

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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $68.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026