DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
F••• F•••••••• W••••• L••
Latest filing Aug 14, 2026
First filing on the tape Nov 4, 2013 · 19 filings
SEC status approved since Nov 12, 2013
RAUM
$99.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$99.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$99.9M
derived; firm RAUM over IAPD count
Employees
1
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$99.9M as of Aug 14, 2026
Mar 31, 2014$30.1M then
HNW client RAUM$89.5M as of Aug 14, 2026
Mar 28, 2018$26.4M then
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Mar 31, 20140 then
Employees (5.A)1 as of Aug 14, 2026
Mar 31, 20141 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $99.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $477,878derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%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 advisers, publications, otherreportedItem 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
- High-net-worth individuals$89.5M90%
- Individuals$10.0M10%
- Corporations and businesses$361,5210.4%
- Individual clients
- 18reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 209reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J••• F••• | Rochester, Ny | Jul 8, 2021 | 25 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• A•••••• J••• · Managing Member And Ccocontrolsince 12/2007 · owns 75% or more
Related persons
Schedule D 7.A
- A••••• J• F•••y
- A••••• J• F•••investment companyy
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 213 to 209Mar 13, 2025 to Jan 30, 2026
- Corporate clients · 1 to 2Mar 13, 2025 to Jan 30, 2026
- HNW clients · 36 to 41Mar 13, 2025 to Jan 30, 2026
- Individual clients · 22 to 18Mar 13, 2025 to Jan 30, 2026
- Discretionary RAUM · $86.8M to $99.9MMar 13, 2025 to Jan 30, 2026
- HNW RAUM · $75.1M to $89.5MMar 13, 2025 to Jan 30, 2026
- Individual RAUM · $12.9M to $10.0MMar 13, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $1.4M to $0Mar 13, 2025 to Jan 30, 2026
- RAUM · $88.3M to $99.9MMar 13, 2025 to Jan 30, 2026
- Accounts · 216 to 213Mar 14, 2024 to Mar 13, 2025
- Financial planning clients · 26-50 to 26-50Mar 14, 2024 to Mar 13, 2025
- Discretionary RAUM · $79.4M to $86.8MMar 14, 2024 to Mar 13, 2025
- HNW RAUM · $65.1M to $75.1MMar 14, 2024 to Mar 13, 2025
- Individual RAUM · $14.1M to $12.9MMar 14, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $0 to $1.4MMar 14, 2024 to Mar 13, 2025
- RAUM · $79.4M to $88.3MMar 14, 2024 to Mar 13, 2025
- Accounts · 207 to 216Feb 6, 2023 to Mar 14, 2024
- HNW clients · 35 to 36Feb 6, 2023 to Mar 14, 2024
- Individual clients · 19 to 22Feb 6, 2023 to Mar 14, 2024
- Discretionary RAUM · $67.0M to $79.4MFeb 6, 2023 to Mar 14, 2024
- HNW RAUM · $53.6M to $65.1MFeb 6, 2023 to Mar 14, 2024
- Individual RAUM · $13.2M to $14.1MFeb 6, 2023 to Mar 14, 2024
- RAUM · $67.0M to $79.4MFeb 6, 2023 to Mar 14, 2024
- Accounts · 188 to 207Feb 8, 2022 to Feb 6, 2023
- HNW clients · 32 to 35Feb 8, 2022 to Feb 6, 2023
- Discretionary RAUM · $70.8M to $67.0MFeb 8, 2022 to Feb 6, 2023
- HNW RAUM · $53.9M to $53.6MFeb 8, 2022 to Feb 6, 2023
- Individual RAUM · $16.8M to $13.2MFeb 8, 2022 to Feb 6, 2023
- RAUM · $70.8M to $67.0MFeb 8, 2022 to Feb 6, 2023
- Accounts · 174 to 188Feb 28, 2021 to Feb 8, 2022
- HNW clients · 27 to 32Feb 28, 2021 to Feb 8, 2022
- Individual clients · 24 to 19Feb 28, 2021 to Feb 8, 2022
- State-registered IARs · 0 to 1Feb 28, 2021 to Feb 8, 2022
- Discretionary RAUM · $58.2M to $70.8MFeb 28, 2021 to Feb 8, 2022
- HNW RAUM · $42.0M to $53.9MFeb 28, 2021 to Feb 8, 2022
- Individual RAUM · $16.0M to $16.8MFeb 28, 2021 to Feb 8, 2022
- RAUM · $58.2M to $70.8MFeb 28, 2021 to Feb 8, 2022
- Accounts · 162 to 174Jun 1, 2020 to Feb 28, 2021
- HNW clients · 24 to 27Jun 1, 2020 to Feb 28, 2021
- Individual clients · 23 to 24Jun 1, 2020 to Feb 28, 2021
Signals
1 dated events
- ••• LockedNov 4, 2013 · 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
- Website
- A•••••F•••.COMreportedpublic record, Form ADV, Aug 14, 2026
- Principal office phone
- 585-292-6007reportedpublic record, Form ADV, Aug 14, 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
- $99.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026