DFX Intelligence

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P••••••••• F••••••••

Independent wealth managerSEC-registered· Pittsford, New Yorkwebsite

Independent wealth manager, based in Pittsford, New York, reporting $226M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $226M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +9.6%
Private clients: 92%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-04-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+9.6%
RAUM, one year
RAUM $206M to $226M (+9.6%) on the Form ADV filed 14 Apr 2026, while advisors on the filing held at 3.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 125580 · SEC 801-107130 · 22 filingsShow

CRD 125580SEC 801-107130Legal name P••••••••• F•••••••• S••••••••• I••First filing on the tape Jan 4, 2016, latest Apr 14, 2026SEC status approved since Jan 12, 2016IAPD

RAUM

$226M

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

92%

$208M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$75.3M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +8.1% a year over three years · the tape starts Jan 4, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$226M as of Apr 14, 2026

Mar 28, 2016$131M then

HNW client RAUM$194M as of Apr 14, 2026

Mar 28, 2018$130M then

State-registered IARs (5.B.3)3 as of Apr 14, 2026

Mar 28, 20163 then

Employees (5.A)4 as of Apr 14, 2026

Mar 28, 20164 then

Private funds: no history

RAUM +9.6% over the last fiscal year+8.1% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Apr 14, 2026; every figure names its basis

Archetypes

Independent boutique

The rule behind each archetype, and every derived figure1 ruleShow

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

RAUM per advisor: $75.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $501,798derivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +9.6%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -4.1%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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

88% high-net-worth individuals, 6.5% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$194M88%
Individuals$14.3M6.5%
Pension and profit-sharing plans$9.1M4.1%
Charitable organizations$1.7M0.8%
Corporations and businesses$334,5130.2%

Individual clients: 24reported
HNW clients: 69reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 450reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 92% private clients, 0% pooled funds, 5% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
K•••••• K•• H•••Certified Financial Planner, Chartered Financial Consultant	Pittsford, Ny	May 20, 2021	25 y
P•••• C• V•• D•• V••••Certified Financial Planner	Pittsford, Ny	May 20, 2021	23 y
P••• B•••• H•••Certified Financial Planner, Chartered Financial Consultant	Pittsford, Ny	May 24, 2021	42 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••• P•••• B•••• · Chief Compliance Officercontrol
since 04/2004 · owns 75% or more
K••• K•••••• · Vice President
since 01/2002 · 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
Pittsford, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

, 2 employees

What changed

consecutive filings, newest first

Accounts · 483 to 450
Mar 28, 2025 to Mar 27, 2026
HNW clients · 64 to 69
Mar 28, 2025 to Mar 27, 2026
Individual clients · 33 to 24
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $186M to $211M
Mar 28, 2025 to Mar 27, 2026
HNW RAUM · $174M to $194M
Mar 28, 2025 to Mar 27, 2026

Full history · 80 changes

Individual RAUM · $20.7M to $14.3M
Mar 28, 2025 to Mar 27, 2026
Non-discretionary RAUM · $20.1M to $15.1M
Mar 28, 2025 to Mar 27, 2026
Pension RAUM · $6.0M to $9.1M
Mar 28, 2025 to Mar 27, 2026
RAUM · $206M to $226M
Mar 28, 2025 to Mar 27, 2026
Accounts · 439 to 483
Oct 9, 2024 to Mar 28, 2025
HNW clients · 63 to 64
Oct 9, 2024 to Mar 28, 2025
Individual clients · 35 to 33
Oct 9, 2024 to Mar 28, 2025
Financial planning clients · 51-100 to 51-100
Oct 9, 2024 to Mar 28, 2025
Discretionary RAUM · $172M to $186M
Oct 9, 2024 to Mar 28, 2025
HNW RAUM · $155M to $174M
Oct 9, 2024 to Mar 28, 2025
Individual RAUM · $21.9M to $20.7M
Oct 9, 2024 to Mar 28, 2025
Non-discretionary RAUM · $19.7M to $20.1M
Oct 9, 2024 to Mar 28, 2025
Pension RAUM · $6.8M to $6.0M
Oct 9, 2024 to Mar 28, 2025
RAUM · $192M to $206M
Oct 9, 2024 to Mar 28, 2025
Accounts · 457 to 439
Mar 30, 2023 to Mar 29, 2024
HNW clients · 65 to 63
Mar 30, 2023 to Mar 29, 2024
Individual clients · 41 to 35
Mar 30, 2023 to Mar 29, 2024
Discretionary RAUM · $151M to $172M
Mar 30, 2023 to Mar 29, 2024
HNW RAUM · $148M to $155M
Mar 30, 2023 to Mar 29, 2024
Individual RAUM · $23.7M to $21.9M
Mar 30, 2023 to Mar 29, 2024
Non-discretionary RAUM · $27.9M to $19.7M
Mar 30, 2023 to Mar 29, 2024
Pension RAUM · $5.9M to $6.8M
Mar 30, 2023 to Mar 29, 2024
RAUM · $179M to $192M
Mar 30, 2023 to Mar 29, 2024
Accounts · 446 to 457
Nov 3, 2022 to Mar 30, 2023
HNW clients · 64 to 65
Nov 3, 2022 to Mar 30, 2023
Discretionary RAUM · $182M to $151M
Nov 3, 2022 to Mar 30, 2023
HNW RAUM · $171M to $148M
Nov 3, 2022 to Mar 30, 2023
Individual RAUM · $24.6M to $23.7M
Nov 3, 2022 to Mar 30, 2023
Non-discretionary RAUM · $21.2M to $27.9M
Nov 3, 2022 to Mar 30, 2023
Pension RAUM · $6.0M to $5.9M
Nov 3, 2022 to Mar 30, 2023
RAUM · $204M to $179M
Nov 3, 2022 to Mar 30, 2023
Accounts · 435 to 446
Jan 3, 2022 to Mar 30, 2022
Advisory employees · 2 to 3
Jan 3, 2022 to Mar 30, 2022
State-registered IARs · 0 to 3
Jan 3, 2022 to Mar 30, 2022
Other offices · 0 to 1
Jan 3, 2022 to Mar 30, 2022
Discretionary RAUM · $158M to $182M
Jan 3, 2022 to Mar 30, 2022
HNW RAUM · $151M to $171M
Jan 3, 2022 to Mar 30, 2022
Individual RAUM · $21.1M to $24.6M
Jan 3, 2022 to Mar 30, 2022
Non-discretionary RAUM · $22.8M to $21.2M
Jan 3, 2022 to Mar 30, 2022
Pension RAUM · $6.8M to $6.0M
Jan 3, 2022 to Mar 30, 2022
RAUM · $181M to $204M
Jan 3, 2022 to Mar 30, 2022
Advisory employees · 3 to 2
Sep 1, 2020 to Mar 30, 2021
HNW clients · 67 to 64
Sep 1, 2020 to Mar 30, 2021
Individual clients · 24 to 41
Sep 1, 2020 to Mar 30, 2021
Discretionary RAUM · $162M to $158M
Sep 1, 2020 to Mar 30, 2021
HNW RAUM · $128M to $151M
Sep 1, 2020 to Mar 30, 2021
Individual RAUM · $24.6M to $21.1M
Sep 1, 2020 to Mar 30, 2021
Non-discretionary RAUM · $0 to $22.8M
Sep 1, 2020 to Mar 30, 2021
Pension RAUM · $5.5M to $6.8M
Sep 1, 2020 to Mar 30, 2021
RAUM · $162M to $181M
Sep 1, 2020 to Mar 30, 2021
Accounts · 96 to 435
Mar 29, 2019 to Mar 27, 2020
Charity clients · 2.0 to unset
Mar 29, 2019 to Mar 27, 2020
Corporate clients · 1.0 to unset
Mar 29, 2019 to Mar 27, 2020
HNW clients · 65 to 67
Mar 29, 2019 to Mar 27, 2020
Pension plan clients · 4.0 to unset
Mar 29, 2019 to Mar 27, 2020
Pooled vehicle clients · 0.0 to unset
Mar 29, 2019 to Mar 27, 2020
Discretionary RAUM · $147M to $162M
Mar 29, 2019 to Mar 27, 2020
HNW RAUM · $122M to $128M
Mar 29, 2019 to Mar 27, 2020
Individual RAUM · $13.4M to $24.6M
Mar 29, 2019 to Mar 27, 2020
Pension RAUM · $9.6M to $5.5M
Mar 29, 2019 to Mar 27, 2020
RAUM · $147M to $162M
Mar 29, 2019 to Mar 27, 2020
Accounts · 99 to 96
Mar 28, 2018 to Mar 29, 2019
Advisory activities · 5 to 4
Mar 28, 2018 to Mar 29, 2019
Charity clients · 1 to 2
Mar 28, 2018 to Mar 29, 2019
HNW clients · 63 to 65
Mar 28, 2018 to Mar 29, 2019
Individual clients · 31 to 24
Mar 28, 2018 to Mar 29, 2019
Discretionary RAUM · $164M to $147M
Mar 28, 2018 to Mar 29, 2019
HNW RAUM · $130M to $122M
Mar 28, 2018 to Mar 29, 2019
Individual RAUM · $22.6M to $13.4M
Mar 28, 2018 to Mar 29, 2019
Pension RAUM · $10.5M to $9.6M
Mar 28, 2018 to Mar 29, 2019
RAUM · $164M to $147M
Mar 28, 2018 to Mar 29, 2019
Advisory activities · 4 to 5
Mar 31, 2017 to Mar 28, 2018
Charity clients · unset to 1.0
Mar 31, 2017 to Mar 28, 2018
Corporate clients · unset to 1.0
Mar 31, 2017 to Mar 28, 2018
HNW clients · unset to 63.0
Mar 31, 2017 to Mar 28, 2018

Signals

1 dated events

••• Locked
Jan 4, 2016 · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Apr 14, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 14, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $75.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026