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
C••• A••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 27, 2020 · 24 filings
SEC status approved since Apr 27, 2020
RAUM
$146M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$146M as of Mar 24, 2026
Mar 27, 2020$53.6M then
HNW client RAUM$0 as of Mar 24, 2026
Mar 19, 2021$46.7M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 27, 20203 then
Employees (5.A)3 as of Mar 24, 2026
Mar 27, 20203 then
Private funds: no history
RAUM +30% over the last fiscal year+26% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $170,226derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
- Individuals$146M100%
- Individual clients
- 321reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 858reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• J••• Z••••Chartered Financial Analyst | Rochester, Ny | Jul 11, 2021 | 36 y | 0 |
| R••••• D•••• B•••• | Rochester, Ny | Aug 5, 2021 | 31 y | 0 |
| S••• P•••••• C•••••• | Rochester, Ny | Aug 11, 2021 | 22 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• S••••• J••• · Chief Compliance Officer / Direct Ownercontrolsince 03/2000 · owns 75% or more
Related persons
Schedule D 7.A
- M••••• F•••• A••••••••• I•••broker-dealern
- S••• C•••••• • C••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 24, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-06-25, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 761 to 858Jun 25, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Jun 25, 2025 to Mar 24, 2026
- Individual clients · 303 to 321Jun 25, 2025 to Mar 24, 2026
- Employees · 4 to 3Jun 25, 2025 to Mar 24, 2026
- State-registered IARs · 4 to 3Jun 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $98.3M to $124MJun 25, 2025 to Mar 24, 2026
- Individual RAUM · $113M to $146MJun 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $14.5M to $22.2MJun 25, 2025 to Mar 24, 2026
- RAUM · $113M to $146MJun 25, 2025 to Mar 24, 2026
- Financial planning clients · 251-500 to 251-500Jan 30, 2025 to Jun 25, 2025
- Accounts · 729 to 761Jan 30, 2024 to Jan 30, 2025
- Individual clients · 729 to 303Jan 30, 2024 to Jan 30, 2025
- Discretionary RAUM · $79.8M to $98.3MJan 30, 2024 to Jan 30, 2025
- Individual RAUM · $94.5M to $113MJan 30, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $14.7M to $14.5MJan 30, 2024 to Jan 30, 2025
- RAUM · $94.5M to $113MJan 30, 2024 to Jan 30, 2025
- Accounts · 709 to 729Jul 17, 2023 to Jan 30, 2024
- Individual clients · 274 to 729Jul 17, 2023 to Jan 30, 2024
- Discretionary RAUM · $60.9M to $79.8MJul 17, 2023 to Jan 30, 2024
- Individual RAUM · $72.6M to $94.5MJul 17, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $11.7M to $14.7MJul 17, 2023 to Jan 30, 2024
- RAUM · $72.6M to $94.5MJul 17, 2023 to Jan 30, 2024
- Accounts · 469 to 709Nov 17, 2022 to Feb 7, 2023
- Individual clients · 397 to 274Nov 17, 2022 to Feb 7, 2023
- Discretionary RAUM · $64.0M to $60.9MNov 17, 2022 to Feb 7, 2023
- Individual RAUM · $74.8M to $72.6MNov 17, 2022 to Feb 7, 2023
- Non-discretionary RAUM · $10.8M to $11.7MNov 17, 2022 to Feb 7, 2023
- RAUM · $74.8M to $72.6MNov 17, 2022 to Feb 7, 2023
- Accounts · 523 to 469Jan 10, 2022 to Feb 14, 2022
- HNW clients · 296 to 0Jan 10, 2022 to Feb 14, 2022
- Individual clients · 16 to 397Jan 10, 2022 to Feb 14, 2022
- Financial planning clients · 101-250 to 251-500Jan 10, 2022 to Feb 14, 2022
- Discretionary RAUM · $54.2M to $64.0MJan 10, 2022 to Feb 14, 2022
- HNW RAUM · $46.7M to $0Jan 10, 2022 to Feb 14, 2022
- Individual RAUM · $19.6M to $74.8MJan 10, 2022 to Feb 14, 2022
- Non-discretionary RAUM · $12.1M to $10.8MJan 10, 2022 to Feb 14, 2022
- RAUM · $66.3M to $74.8MJan 10, 2022 to Feb 14, 2022
- Related insurance company · false to trueJul 30, 2021 to Aug 20, 2021
- Advisory employees · 2 to 3May 20, 2021 to Jul 13, 2021
- Employees · 3 to 4May 20, 2021 to Jul 13, 2021
Signals
1 dated events
- C••• A••••• I••• filed its initial SEC registration (Form ADV)Mar 27, 2020 · First SEC registration · 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 email
- tcollins@corealpha.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-235-3600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-235-3609reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••A••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-235-3600reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- corealpha.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026