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S•••••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Amherst, New York

Former SEC-registered adviser, based in Amherst, New York, reporting $34.0M of regulatory assets.

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

Last reported RAUM
$34.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-32%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $34.0M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 126299 · SEC 801-64406 · 16 filingsShow
CRD 126299SEC 801-64406Legal name S•••••••• M••••••••• I••First filing on the tape May 11, 2012, latest Sep 23, 2020IAPD
RAUM
$34.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$34.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$34.0M as of Jul 19, 2020
May 11, 2012$28.6M then
HNW client RAUM$4.0M as of Jul 19, 2020
Mar 30, 2018$10.0M then
State-registered IARs (5.B.3)0 as of Jul 19, 2020
May 11, 20120 then
Employees (5.A)1 as of Jul 19, 2020
Oct 11, 20137 then
Private funds: no history
RAUM -32% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$800,000derivedHNW RAUM over HNW clients
Average account
$103,030derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-60%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$30.0M88%
  • High-net-worth individuals$4.0M12%
Individual clients
140reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
330reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• G•••••• R•••• · Presidentcontrol
        since 07/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · EAST AMHERST to AMHERST
        Jul 19, 2020 to Sep 23, 2020
      • Accounts · 750 to 330
        Sep 10, 2019 to Jul 19, 2020
      • Advisory activities · 4 to 2
        Sep 10, 2019 to Jul 19, 2020
      • BD registered reps · 1 to 0
        Sep 10, 2019 to Jul 19, 2020
      • HNW clients · 10 to 5
        Sep 10, 2019 to Jul 19, 2020
      • Individual clients · 350 to 140
        Sep 10, 2019 to Jul 19, 2020
      • Employees · 2 to 1
        Sep 10, 2019 to Jul 19, 2020
      • Financial planning clients · 1-10 to 0
        Sep 10, 2019 to Jul 19, 2020
      • Discretionary RAUM · $50.0M to $34.0M
        Sep 10, 2019 to Jul 19, 2020
      • HNW RAUM · $10.0M to $4.0M
        Sep 10, 2019 to Jul 19, 2020
      • Individual RAUM · $40.0M to $30.0M
        Sep 10, 2019 to Jul 19, 2020
      • RAUM · $50.0M to $34.0M
        Sep 10, 2019 to Jul 19, 2020
      • Accounts · 500 to 750
        Mar 30, 2018 to Sep 10, 2019
      • Advisory activities · 3 to 4
        Mar 30, 2018 to Sep 10, 2019
      • Financial planning clients · 0 to 1-10
        Mar 30, 2018 to Sep 10, 2019
      • Discretionary RAUM · $70.0M to $50.0M
        Mar 30, 2018 to Sep 10, 2019
      • Individual RAUM · $60.0M to $40.0M
        Mar 30, 2018 to Sep 10, 2019
      • RAUM · $70.0M to $50.0M
        Mar 30, 2018 to Sep 10, 2019
      • Accounts · 679 to 500
        Jul 20, 2017 to Mar 30, 2018
      • HNW clients · unset to 10.0
        Jul 20, 2017 to Mar 30, 2018
      • Individual clients · unset to 350.0
        Jul 20, 2017 to Mar 30, 2018
      • Employees · 4 to 2
        Jul 20, 2017 to Mar 30, 2018
      • Financial planning clients · 1-10 to 0
        Jul 20, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 20, 2017 to Mar 30, 2018
      • Discretionary RAUM · $35.3M to $70.0M
        Jul 20, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 10000000.0
        Jul 20, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 60000000.0
        Jul 20, 2017 to Mar 30, 2018
      • RAUM · $35.3M to $70.0M
        Jul 20, 2017 to Mar 30, 2018
      • Accounts · 589 to 679
        Feb 24, 2017 to Jul 20, 2017
      • Advisory employees · 2 to 1
        Feb 24, 2017 to Jul 20, 2017
      • BD registered reps · 2 to 1
        Feb 24, 2017 to Jul 20, 2017
      • Employees · 3 to 4
        Feb 24, 2017 to Jul 20, 2017
      • Discretionary RAUM · $33.0M to $35.3M
        Feb 24, 2017 to Jul 20, 2017
      • Non-discretionary RAUM · $250,000 to $0
        Feb 24, 2017 to Jul 20, 2017
      • RAUM · $33.3M to $35.3M
        Feb 24, 2017 to Jul 20, 2017
      • Accounts · 449 to 589
        Feb 9, 2016 to Apr 13, 2016
      • BD registered reps · 1 to 2
        Feb 9, 2016 to Apr 13, 2016
      • Employees · 4 to 3
        Feb 9, 2016 to Apr 13, 2016
      • Discretionary RAUM · $28.0M to $33.0M
        Feb 9, 2016 to Apr 13, 2016
      • Non-discretionary RAUM · $1.7M to $250,000
        Feb 9, 2016 to Apr 13, 2016
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026