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•••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Feb 22, 2012 · 33 filings
SEC status approved since Nov 29, 2002
RAUM
$1.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
19
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.2B as of Aug 19, 2026
Feb 22, 2012$292M then
HNW client RAUM$1.1B as of Aug 19, 2026
Mar 21, 2018$364M then
State-registered IARs (5.B.3)9 as of Aug 19, 2026
Jan 25, 20130 then
Employees (5.A)19 as of Aug 19, 2026
Jan 25, 20138 then
Private funds: no history
RAUM +26% over the last fiscal year+10% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $714,077derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $194M, 58 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B90%
- Individuals$83.2M7.0%
- Corporations and businesses$25.3M2.1%
- Charitable organizations$12.5M1.1%
- Individual clients
- 226reported
- HNW clients
- 293reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 1,654reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 58 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• T••••• B••••••Certified Financial Planner | Victor, Ny | Apr 8, 2021 | 22 y | 1 |
| D••••• N••••• J••••Certified Financial Planner, Personal Financial Specialist | Victor, Ny | Apr 19, 2021 | 19 y | 2 |
| B•••• S•••• R•••Certified Financial Planner | Victor, Ny | Apr 19, 2021 | 23 y | 0 |
| A••••• X••• W•••Certified Financial Planner | Victor, Ny | Apr 23, 2021 | 16 y | 0 |
| D••• M•••••• H•••••••••Certified Financial Planner | Victor, Ny | Apr 23, 2021 | 18 y | 0 |
| A••••• M•••• E•••Certified Financial Planner, Chartered Financial Analyst | Victor, Ny | Apr 23, 2021 | 12 y | 1 |
| J•••• H••••Certified Financial Planner | Victor, Ny | Apr 29, 2021 | 23 y | 0 |
| B••••••• W•••••• O••••Certified Financial Planner | Victor, Ny | Oct 14, 2021 | 14 y | 0 |
| M•••••• R••• K•••••Chartered Financial Analyst | Victor, Ny | Apr 24, 2024 | 16 y | 1 |
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
- D••••• L•• B•••• to S•••• R•••• • C••• I•••Nov 30, 2022 · RIA to RIA
Joined, latest
- M•••••• R••• K••••• from M••••• S••••••Apr 24, 2024 · Wirehouse to independent RIA
- D••••• L•• B•••• from L•• F•••••••• L••Jul 25, 2022 · RIA to RIA
- A••••• M•••• E••• from N•••• P•••••• F•••••••• A••••••• L••Apr 23, 2021 · RIA to RIA
- D••••• N••••• J•••• from N•••• P•••••• F•••••••• A••••••• L••Apr 19, 2021 · RIA to RIA
- R•••••• T••••• B•••••• from N•••• P•••••• F•••••••• A••••••• L••Apr 8, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• D•••••• N••••• · Managing Directorcontrolsince 03/2025 · owns less than 5%
- B••••••• R••••••• T••••• · Division Managersince 10/2019 · owns less than 5%
- D••••••• J•••••• L••••• · Chief Compliance Officersince 03/2021 · owns less than 5%
Entity owners
- E•• H•••••• L•• · Sole Memberdirect · owns 75% or more
- E•• I••••••••• S•••••••• L•• · Sole Memberdirect · owns 75% or more
- E•• F•••••• C••••• U•••• · Ownerindirect · owns 75% or more of E•• I••••••••• S•••••••• L••
Related persons
Schedule D 7.A
- E•• F•••••• C••••• U••••y
- E•• I••••••••• S•••••••• L••broker-dealerreal estatey
- E•• T•••• S••••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Victor, Ny · principal | 9 | 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
- control person changedChange between filings · filing Aug 19, 2026J••••• D•••••• N••••• (MANAGING DIRECTOR) appeared on Schedule A between the filings of 2021-03-25 and 2026-08-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,640 to 1,654Apr 6, 2026 to Aug 19, 2026
- HNW clients · 292 to 293Apr 6, 2026 to Aug 19, 2026
- Assets in custody · $195M to $194MApr 6, 2026 to Aug 19, 2026
- Discretionary RAUM · $1.2B to $1.2BApr 6, 2026 to Aug 19, 2026
- HNW RAUM · $1.0B to $1.1BApr 6, 2026 to Aug 19, 2026
- Non-discretionary RAUM · $0 to $13.0MApr 6, 2026 to Aug 19, 2026
- RAUM · $1.2B to $1.2BApr 6, 2026 to Aug 19, 2026
- Accounts · 1,501 to 1,640Jul 8, 2025 to Mar 24, 2026
- Advisory employees · 12 to 13Jul 8, 2025 to Mar 24, 2026
- Advisory activities · 6 to 5Jul 8, 2025 to Mar 24, 2026
- Charity clients · unset to 4.0Jul 8, 2025 to Mar 24, 2026
- Corporate clients · unset to 4.0Jul 8, 2025 to Mar 24, 2026
- HNW clients · 270 to 292Jul 8, 2025 to Mar 24, 2026
- Individual clients · 218 to 226Jul 8, 2025 to Mar 24, 2026
- Assets in custody · $194M to $195MJul 8, 2025 to Mar 24, 2026
- Employees · 18 to 19Jul 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $939M to $1.2BJul 8, 2025 to Mar 24, 2026
- HNW RAUM · $838M to $1.0BJul 8, 2025 to Mar 24, 2026
- Individual RAUM · $65.6M to $83.2MJul 8, 2025 to Mar 24, 2026
- RAUM · $939M to $1.2BJul 8, 2025 to Mar 24, 2026
- Related adviser · false to trueJul 8, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to More than 500Mar 27, 2025 to Jul 8, 2025
- Accounts · 487 to 1,501Dec 10, 2024 to Mar 27, 2025
- Advisory employees · 9 to 12Dec 10, 2024 to Mar 27, 2025
- HNW clients · 268 to 270Dec 10, 2024 to Mar 27, 2025
- Individual clients · 211 to 218Dec 10, 2024 to Mar 27, 2025
- Pension plan clients · unset to 0.0Dec 10, 2024 to Mar 27, 2025
- Pooled vehicle clients · unset to 0.0Dec 10, 2024 to Mar 27, 2025
- Assets in custody · $146M to $194MDec 10, 2024 to Mar 27, 2025
- Employees · 14 to 18Dec 10, 2024 to Mar 27, 2025
- Insurance-licensed employees · 1 to 4Dec 10, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to More than 500Dec 10, 2024 to Mar 27, 2025
- State-registered IARs · 8 to 9Dec 10, 2024 to Mar 27, 2025
- Discretionary RAUM · $853M to $939MDec 10, 2024 to Mar 27, 2025
- HNW RAUM · $763M to $838MDec 10, 2024 to Mar 27, 2025
- Individual RAUM · $53.5M to $65.6MDec 10, 2024 to Mar 27, 2025
- RAUM · $853M to $939MDec 10, 2024 to Mar 27, 2025
- Accounts · 1,394 to 487Mar 29, 2023 to Mar 25, 2024
- HNW clients · 265 to 268Mar 29, 2023 to Mar 25, 2024
- Individual clients · 206 to 211Mar 29, 2023 to Mar 25, 2024
Signals
2 dated events
- D••••• L•• B•••• left C••••••••• A•••••••• L•• for S•••• R•••• • C••• I••• (registered 2026-07-15)Nov 30, 2022 · Advisor changed firm · fact
- C••••••••• A•••••••• L•• reported RAUM $1.0B, up 48% from $678.1M (2021-05-24 to 2022-03-25)Mar 25, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cooper-haims-advisors-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- CooperHaims.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-248-6400reportedpublic record, Form ADV, Aug 19, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026