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
F•••••• F•••••••• G•••• L••
Latest filing Jun 17, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Jun 6, 2007
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$186M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$215M as of Jun 17, 2026
Mar 28, 2012$53.3M then
HNW client RAUM$128M as of Jun 17, 2026
Mar 22, 2018$12.7M then
State-registered IARs (5.B.3)3 as of Jun 17, 2026
Jan 14, 20130 then
Employees (5.A)8 as of Jun 17, 2026
Jan 14, 20135 then
Private funds: no history
RAUM +42% over the last fiscal year+20% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Jun 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $224,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $12.0M, 15 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M60%
- Individuals$57.9M27%
- Pension and profit-sharing plans$18.8M8.8%
- Corporations and businesses$9.7M4.5%
- Individual clients
- 187reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 957reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.0M for 15 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M•••••• F••••••Certified Financial Planner | Williamsville, Ny | Apr 14, 2022 | 39 y | 0 |
| J•••••• M•••••• M•• | Williamsville, Ny | Oct 14, 2025 | 18 y | 2 |
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
- J•••••• M•••••• M•• from C•••••• S••••• • C••• I•••Oct 14, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• R•••••• M•••••• · Membercontrolsince 03/2004 · owns 75% or more
- G••••••• S••••• E• · Chief Compliance Officercontrolsince 04/2007 · 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 |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $151,384,893 to $214,969,672 (+42.0%) between the annual amendments of 2025-03-19 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 701 to 957Mar 19, 2025 to Mar 30, 2026
- Advisory employees · 1 to 5Mar 19, 2025 to Mar 30, 2026
- HNW clients · 47 to 58Mar 19, 2025 to Mar 30, 2026
- Individual clients · 152 to 187Mar 19, 2025 to Mar 30, 2026
- Pension plan clients · 5.0 to unsetMar 19, 2025 to Mar 30, 2026
- Employees · 5 to 8Mar 19, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 3Mar 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $151M to $215MMar 19, 2025 to Mar 30, 2026
- HNW RAUM · $84.9M to $128MMar 19, 2025 to Mar 30, 2026
- Individual RAUM · $38.3M to $57.9MMar 19, 2025 to Mar 30, 2026
- Pension RAUM · $18.9M to $18.8MMar 19, 2025 to Mar 30, 2026
- RAUM · $151M to $215MMar 19, 2025 to Mar 30, 2026
- Accounts · 829 to 701Mar 23, 2024 to Mar 19, 2025
- HNW clients · 35 to 47Mar 23, 2024 to Mar 19, 2025
- Individual clients · 205 to 152Mar 23, 2024 to Mar 19, 2025
- Pension plan clients · 8 to 5Mar 23, 2024 to Mar 19, 2025
- Assets in custody · $17.8M to $12.0MMar 23, 2024 to Mar 19, 2025
- Financial planning clients · 51-100 to 51-100Mar 23, 2024 to Mar 19, 2025
- Discretionary RAUM · $150M to $151MMar 23, 2024 to Mar 19, 2025
- HNW RAUM · $65.5M to $84.9MMar 23, 2024 to Mar 19, 2025
- Individual RAUM · $73.0M to $38.3MMar 23, 2024 to Mar 19, 2025
- Pension RAUM · $11.0M to $18.9MMar 23, 2024 to Mar 19, 2025
- RAUM · $150M to $151MMar 23, 2024 to Mar 19, 2025
- Accounts · 729 to 829Mar 27, 2023 to Mar 23, 2024
- Assets in custody · $14.4M to $17.8MMar 27, 2023 to Mar 23, 2024
- Discretionary RAUM · $125M to $150MMar 27, 2023 to Mar 23, 2024
- HNW RAUM · $54.6M to $65.5MMar 27, 2023 to Mar 23, 2024
- Individual RAUM · $60.9M to $73.0MMar 27, 2023 to Mar 23, 2024
- Pension RAUM · $9.2M to $11.0MMar 27, 2023 to Mar 23, 2024
- RAUM · $125M to $150MMar 27, 2023 to Mar 23, 2024
- Accounts · 725 to 729Mar 31, 2022 to Mar 27, 2023
- Individual clients · 201 to 205Mar 31, 2022 to Mar 27, 2023
- Pension plan clients · 4 to 8Mar 31, 2022 to Mar 27, 2023
- Assets in custody · $14.2M to $14.4MMar 31, 2022 to Mar 27, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 27, 2023
- State-registered IARs · 0 to 1Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $143M to $125MMar 31, 2022 to Mar 27, 2023
- HNW RAUM · $63.2M to $54.6MMar 31, 2022 to Mar 27, 2023
- Individual RAUM · $70.4M to $60.9MMar 31, 2022 to Mar 27, 2023
- RAUM · $143M to $125MMar 31, 2022 to Mar 27, 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 email
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-810-9590reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-810-9592reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-810-9590reportedpublic record, Form ADV, Jun 17, 2026
- Contact form
- f•••••••••.comreportedpublished 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026