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.
Former SEC-registered adviser
Linwood Investment Advisors Inc.
Latest filing Jun 29, 2023
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$67.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
52%
$35.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$67.7M as of Jun 29, 2023
Mar 28, 2013$117M then
HNW client RAUM$20.7M as of Jun 29, 2023
Mar 27, 2018$132M then
State-registered IARs (5.B.3)1 as of Jun 29, 2023
Mar 28, 20131 then
Employees (5.A)2 as of Jun 29, 2023
Mar 28, 20132 then
Private funds: no history
RAUM -84% over the last fiscal year-36% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 29, 2023; every figure names its basis
- RAUM per advisor
- $67.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $442,299derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -84%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -43%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$31.5M47%
- High-net-worth individuals$20.7M31%
- Individuals$14.3M21%
- Corporations and businesses$1.2M1.7%
- Individual clients
- 123reported
- HNW clients
- 16reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 153reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- Brian Michael Geary to Hightower Advisors, LLCFeb 27, 2024 · RIA to affiliated broker-dealer or bank
- Connor Joseph Rosenecker to Hightower Advisors, LLCFeb 27, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Hightower Advisors, LLCFeb 27, 2024 · Buffalo, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Anthony Bonaventura · Shareholdercontrolsince 05/1997 · owns 10% to 25%
- Patrick Joseph Feeley · Chief Compliance Officercontrolsince 05/1997 · owns 10% to 25%
- Donald Thomas Hyzy · Shareholdercontrolsince 05/1997 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 596 to 153Mar 28, 2022 to Jun 29, 2023
- Advisory employees · 2 to 1Mar 28, 2022 to Jun 29, 2023
- Corporate clients · 2 to 3Mar 28, 2022 to Jun 29, 2023
- HNW clients · 105 to 16Mar 28, 2022 to Jun 29, 2023
- Individual clients · 137 to 123Mar 28, 2022 to Jun 29, 2023
- Pension plan clients · 19 to 11Mar 28, 2022 to Jun 29, 2023
- Employees · 3 to 2Mar 28, 2022 to Jun 29, 2023
- HQ city · CHEEKTOWAGA to BUFFALOMar 28, 2022 to Jun 29, 2023
- Discretionary RAUM · $319M to $67.7MMar 28, 2022 to Jun 29, 2023
- HNW RAUM · $242M to $20.7MMar 28, 2022 to Jun 29, 2023
- Individual RAUM · $32.2M to $14.3MMar 28, 2022 to Jun 29, 2023
- Non-discretionary RAUM · $111M to $0Mar 28, 2022 to Jun 29, 2023
- Pension RAUM · $155M to $31.5MMar 28, 2022 to Jun 29, 2023
- RAUM · $430M to $67.7MMar 28, 2022 to Jun 29, 2023
- Related insurance company · false to trueMar 28, 2022 to Jun 29, 2023
- Accounts · 594 to 596Mar 25, 2021 to Mar 28, 2022
- HNW clients · 80 to 105Mar 25, 2021 to Mar 28, 2022
- Pension plan clients · 21 to 19Mar 25, 2021 to Mar 28, 2022
- Other offices · 1 to 0Mar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $253M to $319MMar 25, 2021 to Mar 28, 2022
- HNW RAUM · $208M to $242MMar 25, 2021 to Mar 28, 2022
- Individual RAUM · $27.2M to $32.2MMar 25, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $73.4M to $111MMar 25, 2021 to Mar 28, 2022
- Pension RAUM · $90.6M to $155MMar 25, 2021 to Mar 28, 2022
- RAUM · $327M to $430MMar 25, 2021 to Mar 28, 2022
- Related insurance company · true to falseMar 25, 2021 to Mar 28, 2022
- Accounts · 603 to 594Jun 24, 2020 to Mar 25, 2021
- Corporate clients · 3 to 2Jun 24, 2020 to Mar 25, 2021
- HNW clients · 83 to 80Jun 24, 2020 to Mar 25, 2021
- Individual clients · 128 to 137Jun 24, 2020 to Mar 25, 2021
- Pension plan clients · 25 to 21Jun 24, 2020 to Mar 25, 2021
- Discretionary RAUM · $201M to $253MJun 24, 2020 to Mar 25, 2021
- HNW RAUM · $155M to $208MJun 24, 2020 to Mar 25, 2021
- Individual RAUM · $30.1M to $27.2MJun 24, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $60.5M to $73.4MJun 24, 2020 to Mar 25, 2021
- Pension RAUM · $74.8M to $90.6MJun 24, 2020 to Mar 25, 2021
- RAUM · $261M to $327MJun 24, 2020 to Mar 25, 2021
- HNW clients · 67 to 83Mar 27, 2019 to Mar 18, 2020
- Individual clients · 124 to 128Mar 27, 2019 to Mar 18, 2020
- Pension plan clients · 24 to 25Mar 27, 2019 to Mar 18, 2020
Signals
6 dated events
- Connor Joseph Rosenecker left Linwood Investment Advisors Inc. for Hightower Advisors, Llc (registered 2022-09-30)Feb 27, 2024 · Advisor changed firm · fact
- Brian Michael Geary left Linwood Investment Advisors Inc. for Hightower Advisors, Llc (registered 2024-09-25)Feb 27, 2024 · Advisor changed firm · fact
- 2 advisors left Linwood Investment Advisors Inc. (Buffalo, NY) for Hightower Advisors, LLC on the same dayFeb 27, 2024 · Team lift-out · derived
- Linwood Investment Advisors Inc. reported RAUM $67.7M, down 84% from $430.0M (2022-03-28 to 2023-06-29)Jun 29, 2023 · RAUM change · derived
- Michael Brian Geary (Chief Compliance Officer) no longer on Schedule A of Linwood Investment Advisors Inc. (listed 2022-03-28, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- Linwood Investment Advisors Inc. reported RAUM $430.0M, up 32% from $326.5M (2021-03-25 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
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