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
D•••••• W••••• M••••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Mar 16, 2012 · 44 filings
SEC status approved since Mar 14, 2003
RAUM
$717M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$683M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$717M as of Aug 31, 2026
Mar 16, 2012$464M then
HNW client RAUM$650M as of Aug 31, 2026
Mar 9, 2018$488M then
State-registered IARs (5.B.3)4 as of Aug 31, 2026
Mar 26, 20131 then
Employees (5.A)6 as of Aug 31, 2026
Mar 26, 201312 then
Private funds: no history
RAUM +11% over the last fiscal year+10.0% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $167M, 82 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$650M91%
- Individuals$32.6M4.5%
- Corporations and businesses$25.7M3.6%
- Pension and profit-sharing plans$6.2M0.9%
- Charitable organizations$2.2M0.3%
- Individual clients
- 149reported
- HNW clients
- 140reported
- Pension plan clients
- 7reported
- Charitable clients
- 5reported
- Accounts
- 312reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 82 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| T••••• R•••••• E••••••••Certified Financial Planner | Williamsville, Ny | Mar 31, 2021 | 51 y | 0 |
| C•••• R•••••• C••••• | Williamsville, Ny | Apr 12, 2021 | 23 y | 2 |
| C••• R••••• O••••••• | Williamsville, Ny | Apr 20, 2021 | 24 y | 0 |
| R••••• A•••• C••••••••• | Williamsville, Ny | Aug 4, 2023 | 38 y | 1 |
| T••• A•••••••• L•••• | Williamsville, Ny | Feb 12, 2025 | 11 y | 0 |
| A•••• A•••••••• H••• | Williamsville, Ny | May 13, 2026 | 10 y | 0 |
| K•••• M••••••Chartered Financial Analyst | Williamsville, Ny | Jun 5, 2026 | 11 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- R••• C•••••• S•••• to W•••••••• A•••••••• L••Dec 12, 2025 · RIA to RIA
- P••• K•••••• D••••••••• to H•••••••• A•••••••• L••Jun 15, 2024 · RIA to affiliated broker-dealer or bank
- J••••• P•••••• B•••• to C•••••• G•••• • C• I••Aug 5, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- K•••• M•••••• from J••• M••••• S••••••••• L••Jun 5, 2026 · Wirehouse to independent RIA
- R••••• A•••• C••••••••• from T•• A••••••• G••••• L••Aug 4, 2023 · RIA to RIA
- J••••• P•••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 20, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• T•••••• R•••••• · Managing Membercontrolsince 01/1999 · owns 25% to 50%
- M••••••• B••••••••• F•••••• · Membercontrolsince 09/2019 · owns 10% to 25%
- N••••• A•••••• A••••• · Membercontrolsince 09/2018 · owns 10% to 25%
- R••••••• A•••••• J••• · Membercontrolsince 09/2023 · owns 5% to 10%
- U••••• G••••••• J••••• · Membercontrolsince 09/2017 · owns 10% to 25%
- E••••••••• T•••••• J••••• · Membersince 04/2024 · owns 5% to 10%
- J••••••• L•••• A•••• · Chief Compliance Officersince 12/2009 · owns less than 5%
Related persons
Schedule D 7.A
- D•••••• • C••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 7 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Latham, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 17, 2026accounts (Item 5.F.2.f) moved from 741.0 to 312.0 (-58.0%) between the annual amendments of 2025-04-04 and 2026-02-17; the peer median change was +6.0% (1256 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 1.5% percentile
- advisor count dropChange between filings · filing Feb 17, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-04-04 and 2026-02-17; the peer median change was 0.0% (795 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 741 to 312Sep 2, 2025 to Feb 17, 2026
- Advisory employees · 5 to 4Sep 2, 2025 to Feb 17, 2026
- Charity clients · 4 to 5Sep 2, 2025 to Feb 17, 2026
- HNW clients · 136 to 140Sep 2, 2025 to Feb 17, 2026
- Individual clients · 140 to 149Sep 2, 2025 to Feb 17, 2026
- Pension plan clients · 12 to 7Sep 2, 2025 to Feb 17, 2026
- Assets in custody · $191M to $167MSep 2, 2025 to Feb 17, 2026
- Employees · 7 to 6Sep 2, 2025 to Feb 17, 2026
- State-registered IARs · 6 to 4Sep 2, 2025 to Feb 17, 2026
- Discretionary RAUM · $643M to $714MSep 2, 2025 to Feb 17, 2026
- HNW RAUM · $584M to $650MSep 2, 2025 to Feb 17, 2026
- Individual RAUM · $27.2M to $32.6MSep 2, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $2.3M to $2.6MSep 2, 2025 to Feb 17, 2026
- Pension RAUM · $10.1M to $6.2MSep 2, 2025 to Feb 17, 2026
- RAUM · $646M to $717MSep 2, 2025 to Feb 17, 2026
- Financial planning clients · unset to Feb 25, 2025 to Apr 4, 2025
- Accounts · 719 to 741Nov 13, 2024 to Feb 25, 2025
- Charity clients · 3 to 4Nov 13, 2024 to Feb 25, 2025
- Corporate clients · 10 to 11Nov 13, 2024 to Feb 25, 2025
- HNW clients · 133 to 136Nov 13, 2024 to Feb 25, 2025
- Pension plan clients · 11 to 12Nov 13, 2024 to Feb 25, 2025
- Assets in custody · $179M to $191MNov 13, 2024 to Feb 25, 2025
- Employees · 6 to 7Nov 13, 2024 to Feb 25, 2025
- State-registered IARs · 5 to 6Nov 13, 2024 to Feb 25, 2025
- Discretionary RAUM · $616M to $643MNov 13, 2024 to Feb 25, 2025
- HNW RAUM · $552M to $584MNov 13, 2024 to Feb 25, 2025
- Individual RAUM · $36.5M to $27.2MNov 13, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $2.0M to $2.3MNov 13, 2024 to Feb 25, 2025
- Pension RAUM · $8.5M to $10.1MNov 13, 2024 to Feb 25, 2025
- RAUM · $618M to $646MNov 13, 2024 to Feb 25, 2025
- Accounts · 592 to 719Oct 10, 2023 to Mar 14, 2024
- Charity clients · 4 to 3Oct 10, 2023 to Mar 14, 2024
- Corporate clients · 6 to 10Oct 10, 2023 to Mar 14, 2024
- HNW clients · 105 to 133Oct 10, 2023 to Mar 14, 2024
- Individual clients · 143 to 140Oct 10, 2023 to Mar 14, 2024
- Pension plan clients · 17 to 11Oct 10, 2023 to Mar 14, 2024
- Assets in custody · $185M to $179MOct 10, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 5Oct 10, 2023 to Mar 14, 2024
- Discretionary RAUM · $536M to $616MOct 10, 2023 to Mar 14, 2024
- HNW RAUM · $476M to $552MOct 10, 2023 to Mar 14, 2024
Signals
5 dated events
- R••• C•••••• S•••• left D•••••• W••••• M••••••••• L•• for W•••••••• A•••••••• L•• (registered 2025-12-17)Dec 12, 2025 · Advisor changed firm · fact
- P••• K•••••• D••••••••• left D•••••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2024-06-26)Jun 15, 2024 · Advisor changed firm · fact
- Murphy Teresa Majors (Member) no longer on Schedule A of D•••••• W••••• M••••••••• L•• (listed 2023-01-30, absent 2023-10-10)Oct 10, 2023 · Control person left · inference
- John Andrew Reading (Member) appeared on Schedule A of D•••••• W••••• M••••••••• L••Oct 10, 2023 · Control person joined · fact
- Emmett Robert Pollock (Member) no longer on Schedule A of D•••••• W••••• M••••••••• L•• (listed 2021-03-10, absent 2021-10-13)Oct 13, 2021 · Control person left · inference
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
- 716-634-8800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-634-0001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-634-8987reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- dopkins.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-634-8800reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- dopkins.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dopkins.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026