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
W•••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 7, 2012 · 18 filings
SEC status approved since Apr 9, 2004
RAUM
$399M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$399M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.0M
derived; firm RAUM over IAPD count
Employees
10
7 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$399M as of Mar 31, 2026
Mar 7, 2012$90.1M then
HNW client RAUM$344M as of Mar 31, 2026
Feb 6, 2018$199M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 7, 20120 then
Employees (5.A)10 as of Mar 31, 2026
Mar 4, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 31, 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
- 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
- RAUM per advisor
- $57.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $403,973derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $167M, 351 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)
- 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$344M86%
- Individuals$54.9M14%
- Individual clients
- 212reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 988reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 351 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• L•••••• K•••••••Certified Financial Planner | Orchard Park, Ny | Feb 15, 2018 | 39 y | 2 |
| M•••••• D• H•••••Certified Financial Planner | Orchard Park, Ny | Apr 14, 2023 | 14 y | 0 |
| D••••• B•••••••••Certified Financial Planner | Orchard Park, Ny | Apr 14, 2023 | 9 y | 0 |
| C•••••••• M•••• M•••••••••Certified Financial Planner | Orchard Park, Ny | Apr 14, 2023 | 19 y | 0 |
| R••• M•••••• D•••••••••Certified Financial Planner | Orchard Park, Ny | Dec 12, 2024 | 15 y | 0 |
| S••••••• L•••• T•••••Certified Financial Planner | Orchard Park, Ny | Jun 22, 2025 | 11 y | 0 |
| R••• C•••••• S••••Certified Financial Planner | Orchard Park, Ny | Dec 17, 2025 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• C•••••• S•••• from D•••••• W••••• M••••••••• L••Dec 17, 2025 · RIA to RIA
- G•••••• L•••••• K••••••• from C•••••• G•••• • C• I••Nov 18, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• G••••••• L•••••• · Chief Compliance Officercontrolsince 05/2001 · owns less than 5%
- K•••••••• G••••••• L•••••• · Membercontrolsince 12/2006 · owns 50% to 75% of S•• I••••••••• I••
- B••••••••• D••••• · Ownersince 01/2021 · owns F of S•• I••••••••• I••
- H•••••• M••••••• D• · Ownersince 01/2018 · owns F of S•• I••••••••• I••
- H•••• D••••• T••••• · Ownersince 12/2006 · owns F of S•• I••••••••• I••
- M••••••••• C••••••••• M•••• · Ownersince 01/2015 · owns F of S•• I••••••••• I••
Entity owners
- S•• I••••••••• I•• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Orchard Park, Ny · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 935 to 988Apr 21, 2025 to Mar 31, 2026
- Advisory employees · 5 to 7Apr 21, 2025 to Mar 31, 2026
- HNW clients · 123 to 139Apr 21, 2025 to Mar 31, 2026
- Individual clients · 169 to 212Apr 21, 2025 to Mar 31, 2026
- Assets in custody · $153M to $167MApr 21, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 7Apr 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $337M to $399MApr 21, 2025 to Mar 31, 2026
- HNW RAUM · $293M to $344MApr 21, 2025 to Mar 31, 2026
- Individual RAUM · $44.1M to $54.9MApr 21, 2025 to Mar 31, 2026
- RAUM · $337M to $399MApr 21, 2025 to Mar 31, 2026
- Accounts · 851 to 935Feb 29, 2024 to Apr 21, 2025
- Advisory employees · 6 to 5Feb 29, 2024 to Apr 21, 2025
- BD registered reps · 3 to 0Feb 29, 2024 to Apr 21, 2025
- HNW clients · 110 to 123Feb 29, 2024 to Apr 21, 2025
- Individual clients · 164 to 169Feb 29, 2024 to Apr 21, 2025
- Commission compensation · true to falseFeb 29, 2024 to Apr 21, 2025
- Assets in custody · $114M to $153MFeb 29, 2024 to Apr 21, 2025
- Financial planning clients · 251-500 to 251-500Feb 29, 2024 to Apr 21, 2025
- State-registered IARs · 4 to 5Feb 29, 2024 to Apr 21, 2025
- Discretionary RAUM · $300M to $337MFeb 29, 2024 to Apr 21, 2025
- HNW RAUM · $258M to $293MFeb 29, 2024 to Apr 21, 2025
- Individual RAUM · $42.6M to $44.1MFeb 29, 2024 to Apr 21, 2025
- RAUM · $300M to $337MFeb 29, 2024 to Apr 21, 2025
- Accounts · 797 to 851Mar 9, 2023 to Feb 29, 2024
- Advisory employees · 4 to 6Mar 9, 2023 to Feb 29, 2024
- BD registered reps · 1 to 3Mar 9, 2023 to Feb 29, 2024
- HNW clients · 93 to 110Mar 9, 2023 to Feb 29, 2024
- Individual clients · 230 to 164Mar 9, 2023 to Feb 29, 2024
- Assets in custody · $124M to $114MMar 9, 2023 to Feb 29, 2024
- Employees · 9 to 10Mar 9, 2023 to Feb 29, 2024
- State-registered IARs · 1 to 4Mar 9, 2023 to Feb 29, 2024
- Discretionary RAUM · $269M to $300MMar 9, 2023 to Feb 29, 2024
- HNW RAUM · $221M to $258MMar 9, 2023 to Feb 29, 2024
- Individual RAUM · $48.3M to $42.6MMar 9, 2023 to Feb 29, 2024
- RAUM · $269M to $300MMar 9, 2023 to Feb 29, 2024
- Accounts · 731 to 797Feb 16, 2022 to Mar 9, 2023
- Advisory activities · 4 to 3Feb 16, 2022 to Mar 9, 2023
- HNW clients · 110 to 93Feb 16, 2022 to Mar 9, 2023
- Individual clients · 206 to 230Feb 16, 2022 to Mar 9, 2023
- Pension plan clients · 7.0 to unsetFeb 16, 2022 to Mar 9, 2023
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
- Business phone
- 716-580-3906reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-580-3913reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/6157588/?TRK=TYAH&TRKINFO=Creportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-580-3906reportedpublic record, Form ADV, Mar 31, 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
- $57.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026