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
E••••••• • A•••••••••
Legal name E••••••• • A••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Mar 20, 2008
RAUM
$114M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
4
4 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$114M as of Mar 31, 2026
Mar 28, 2012$42.3M then
HNW client RAUM$83.3M as of Mar 31, 2026
Mar 30, 2018$20.4M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 362derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $946,068derivedHNW RAUM over HNW clients
- Average account
- $182,566derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $79.1M, 342 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.3M73%
- Individuals$31.2M27%
- Individual clients
- 274reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 627reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.1M for 342 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- K••• C•••• K•••• to S•••• O•• C•••••• L••May 22, 2026 · RIA to a newly registered adviser
Joined, latest
- K••• C•••• K•••• from B••• C••••••Oct 22, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• J•••••••• M•••••• · President, Chief Executive Officer, Chief Compliance Officercontrolsince 01/2015 · owns 75% or more
Related persons
Schedule D 7.A
- J••••••• M• V••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 643 to 627Mar 27, 2025 to Mar 31, 2026
- HNW clients · 83 to 88Mar 27, 2025 to Mar 31, 2026
- Individual clients · 282 to 274Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $21.4M to $79.1MMar 27, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $98.4M to $109MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $73.1M to $83.3MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $29.3M to $31.2MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.0M to $5.6MMar 27, 2025 to Mar 31, 2026
- RAUM · $102M to $114MMar 27, 2025 to Mar 31, 2026
- Accounts · 526 to 643Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 2 to 4Mar 26, 2024 to Mar 27, 2025
- Advisory activities · 2 to 3Mar 26, 2024 to Mar 27, 2025
- HNW clients · 64 to 83Mar 26, 2024 to Mar 27, 2025
- Individual clients · 237 to 282Mar 26, 2024 to Mar 27, 2025
- Assets in custody · $0 to $21.4MMar 26, 2024 to Mar 27, 2025
- Employees · 2 to 4Mar 26, 2024 to Mar 27, 2025
- Insurance-licensed employees · 0 to 1Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to 1-10Mar 26, 2024 to Mar 27, 2025
- State-registered IARs · 1 to 2Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $81.9M to $98.4MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $55.1M to $73.1MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $30.4M to $29.3MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.7M to $4.0MMar 26, 2024 to Mar 27, 2025
- RAUM · $85.6M to $102MMar 26, 2024 to Mar 27, 2025
- Accounts · 533 to 526Mar 30, 2023 to Mar 26, 2024
- HNW clients · 69 to 64Mar 30, 2023 to Mar 26, 2024
- Individual clients · 260 to 237Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $76.1M to $81.9MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $52.1M to $55.1MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $27.5M to $30.4MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.5M to $3.7MMar 30, 2023 to Mar 26, 2024
- RAUM · $79.6M to $85.6MMar 30, 2023 to Mar 26, 2024
- Accounts · 531 to 533Jul 29, 2022 to Mar 30, 2023
- HNW clients · 72 to 69Jul 29, 2022 to Mar 30, 2023
- Individual clients · 255 to 260Jul 29, 2022 to Mar 30, 2023
- Assets in custody · $38.3M to $0Jul 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $84.6M to $76.1MJul 29, 2022 to Mar 30, 2023
- HNW RAUM · $56.8M to $52.1MJul 29, 2022 to Mar 30, 2023
- Individual RAUM · $31.5M to $27.5MJul 29, 2022 to Mar 30, 2023
Signals
1 dated events
- K••• C•••• K•••• left E••••••• • A••••••••• for S•••• O•• C•••••• L•• (registered 2026-05-05)May 22, 2026 · Advisor changed firm · 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
- Principal office phone
- 585-424-6150reportedpublic record, Form ADV, Mar 31, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026