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
S••••• F•••••••• A•• R••••• A•••••
Legal name M••••••• K•••• D•••••
Latest filing Mar 19, 2026
First filing on the tape Mar 23, 2021 · 8 filings
SEC status approved since Apr 26, 2021
RAUM
$40.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$37.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$40.7M as of Mar 19, 2026
Mar 16, 2022$36.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 16, 20221 then
Employees (5.A)2 as of Mar 19, 2026
Mar 16, 20222 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $20.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $468,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $40.7MreportedItem 5.I
- 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$37.8M93%
- Pension and profit-sharing plans$2.9M7.2%
- Individual clients
- 83reported
- HNW clients
- 0reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 87reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $40.7M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D••••• M•••••• | Orchard Park, Ny | Nov 30, 2021 | 37 y | 0 |
| C•••••• E• M•••••••Certified Financial Planner | Orchard Park, Ny | Dec 1, 2021 | 18 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
- M••••••• K••••• D••••• · Sole Proprietor And Ccocontrolsince 06/1990 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Orchard Park, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $34.7M to $40.7MFeb 27, 2025 to Mar 19, 2026
- Individual RAUM · $32.1M to $37.8MFeb 27, 2025 to Mar 19, 2026
- Pension RAUM · $2.7M to $2.9MFeb 27, 2025 to Mar 19, 2026
- RAUM · $34.7M to $40.7MFeb 27, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · $34.7M to $40.7MFeb 27, 2025 to Mar 19, 2026
- Accounts · 88 to 87Mar 22, 2024 to Feb 27, 2025
- Individual clients · 85 to 83Mar 22, 2024 to Feb 27, 2025
- Pension plan clients · 3 to 4Mar 22, 2024 to Feb 27, 2025
- Financial planning clients · 11-25 to 11-25Mar 22, 2024 to Feb 27, 2025
- HQ city · unset to Mar 22, 2024 to Feb 27, 2025
- HQ state · unset to Mar 22, 2024 to Feb 27, 2025
- Discretionary RAUM · $31.8M to $34.7MMar 22, 2024 to Feb 27, 2025
- Individual RAUM · $29.7M to $32.1MMar 22, 2024 to Feb 27, 2025
- Pension RAUM · $2.1M to $2.7MMar 22, 2024 to Feb 27, 2025
- RAUM · $31.8M to $34.7MMar 22, 2024 to Feb 27, 2025
- Wrap assets (sponsor) · $31.8M to $34.7MMar 22, 2024 to Feb 27, 2025
- Accounts · 92 to 88Mar 23, 2023 to Mar 22, 2024
- Advisory activities · 3 to 2Mar 23, 2023 to Mar 22, 2024
- Individual clients · 89 to 85Mar 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $28.3M to $31.8MMar 23, 2023 to Mar 22, 2024
- Individual RAUM · $26.8M to $29.7MMar 23, 2023 to Mar 22, 2024
- Pension RAUM · $1.5M to $2.1MMar 23, 2023 to Mar 22, 2024
- RAUM · $28.3M to $31.8MMar 23, 2023 to Mar 22, 2024
- Wrap assets (sponsor) · $28.3M to $31.8MMar 23, 2023 to Mar 22, 2024
- Accounts · 95 to 92Mar 16, 2022 to Mar 23, 2023
- Individual clients · 92 to 89Mar 16, 2022 to Mar 23, 2023
- Discretionary RAUM · $36.3M to $28.3MMar 16, 2022 to Mar 23, 2023
- Individual RAUM · $34.5M to $26.8MMar 16, 2022 to Mar 23, 2023
- Pension RAUM · $1.8M to $1.5MMar 16, 2022 to Mar 23, 2023
- RAUM · $36.3M to $28.3MMar 16, 2022 to Mar 23, 2023
- Wrap assets (sponsor) · $36.3M to $28.3MMar 16, 2022 to Mar 23, 2023
- Accounts · 92 to 95Apr 16, 2021 to Mar 16, 2022
- Individual clients · 89 to 92Apr 16, 2021 to Mar 16, 2022
- Discretionary RAUM · $31.0M to $36.3MApr 16, 2021 to Mar 16, 2022
- Individual RAUM · $29.1M to $34.5MApr 16, 2021 to Mar 16, 2022
- Pension RAUM · $1.8M to $1.8MApr 16, 2021 to Mar 16, 2022
- RAUM · $31.0M to $36.3MApr 16, 2021 to Mar 16, 2022
- Wrap assets (sponsor) · $31.0M to $36.3MApr 16, 2021 to Mar 16, 2022
Signals
1 dated events
- S••••• F•••••••• A•• R••••• A••••• filed its initial SEC registration (Form ADV)Mar 23, 2021 · 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
- 716-662-4470reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••-FINANCIAL-&-TAX-A••••IATESreportedpublic record, Form ADV, Sep 19, 2026
- Website
- SFTAWEB.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 716-662-4470reportedpublic record, Form ADV, Mar 19, 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
- $20.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026