DFX Intelligence

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A•••• I••••••••• M••••••••• I•••

Independent wealth managerSEC-registered· Williamsville, New York

Independent wealth manager, based in Williamsville, New York, reporting $78.3M of regulatory assets across 1 registered advisors.

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

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $78.3M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -11%
Private clients: 84%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Mar 2026, RAUM $87.7M to $78.3M (-10.7%) on the Form ADV filed 18 Mar 2026.

Every filed figure, and the identifiersCRD 126545 · SEC 801-85194 · 17 filingsShow

CRD 126545SEC 801-85194First filing on the tape Mar 26, 2015, latest Mar 18, 2026SEC status approved since Apr 3, 2015IAPD

RAUM

$78.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

84%

$65.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$78.3M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM -3.6% a year over three years · the tape starts Mar 26, 2015

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

RAUM$78.3M as of Mar 18, 2026

Mar 28, 2016$82.6M then

HNW client RAUM$55.0M as of Mar 18, 2026

Mar 27, 2018$37.0M then

State-registered IARs (5.B.3)0 as of Mar 18, 2026

Mar 28, 20160 then

Employees (5.A)1 as of Mar 18, 2026

Mar 28, 20161 then

Private funds: no history

RAUM -11% over the last fiscal year-3.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 18, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $78.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 88derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $652,394derivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -11%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -6.4%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: 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

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

84% high-net-worth individuals, 16% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$55.0M84%
Individuals$10.5M16%

Individual clients: 39reported
HNW clients: 49reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 120reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 84% private clients, 0% pooled funds, 0% 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

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B•••• K•••• P••••••Personal Financial Specialist	Williamsville, Ny	Nov 1, 2021	21 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• B••••• K•••• · Chief Compliance Officer/Presidentcontrol
since 01/2002 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

P•••••• F•••••••• S•••••••
insurancey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 18, 2026
custody of client assets (Item 9.A): yes on the filing of 2025-10-20, no on the filing of 2026-03-18
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 134 to 120
Oct 20, 2025 to Mar 18, 2026
HNW clients · 54 to 49
Oct 20, 2025 to Mar 18, 2026
Individual clients · 40 to 39
Oct 20, 2025 to Mar 18, 2026
Assets in custody · 8884870.0 to unset
Oct 20, 2025 to Mar 18, 2026
Custody of client assets · true to false
Oct 20, 2025 to Mar 18, 2026

Full history · 80 changes

Discretionary RAUM · $87.7M to $78.3M
Oct 20, 2025 to Mar 18, 2026
HNW RAUM · $55.3M to $55.0M
Oct 20, 2025 to Mar 18, 2026
Individual RAUM · $10.3M to $10.5M
Oct 20, 2025 to Mar 18, 2026
RAUM · $87.7M to $78.3M
Oct 20, 2025 to Mar 18, 2026
Assets in custody · unset to 8884870.0
Mar 28, 2025 to Oct 20, 2025
Custody of client assets · false to true
Mar 28, 2025 to Oct 20, 2025
Financial planning clients · 0 to 0
Mar 28, 2025 to Oct 20, 2025
Accounts · 142 to 134
Apr 1, 2024 to Mar 28, 2025
HNW clients · 49 to 54
Apr 1, 2024 to Mar 28, 2025
Individual clients · 95 to 40
Apr 1, 2024 to Mar 28, 2025
Discretionary RAUM · $87.4M to $87.7M
Apr 1, 2024 to Mar 28, 2025
HNW RAUM · $51.0M to $55.3M
Apr 1, 2024 to Mar 28, 2025
Individual RAUM · $36.5M to $10.3M
Apr 1, 2024 to Mar 28, 2025
RAUM · $87.4M to $87.7M
Apr 1, 2024 to Mar 28, 2025
Accounts · 119 to 142
Mar 31, 2023 to Apr 1, 2024
HNW clients · 24 to 49
Mar 31, 2023 to Apr 1, 2024
HNW RAUM · $44.9M to $51.0M
Mar 31, 2023 to Apr 1, 2024
Individual RAUM · $42.5M to $36.5M
Mar 31, 2023 to Apr 1, 2024
Accounts · 116 to 119
Mar 21, 2022 to Mar 31, 2023
HNW clients · 21 to 24
Mar 21, 2022 to Mar 31, 2023
Discretionary RAUM · $93.0M to $87.4M
Mar 21, 2022 to Mar 31, 2023
HNW RAUM · $48.4M to $44.9M
Mar 21, 2022 to Mar 31, 2023
Individual RAUM · $44.7M to $42.5M
Mar 21, 2022 to Mar 31, 2023
RAUM · $93.0M to $87.4M
Mar 21, 2022 to Mar 31, 2023
Accounts · 132 to 116
Mar 24, 2021 to Mar 21, 2022
HNW clients · 26 to 21
Mar 24, 2021 to Mar 21, 2022
Individual clients · 106 to 95
Mar 24, 2021 to Mar 21, 2022
Discretionary RAUM · $66.1M to $93.0M
Mar 24, 2021 to Mar 21, 2022
HNW RAUM · $33.8M to $48.4M
Mar 24, 2021 to Mar 21, 2022
Individual RAUM · $32.3M to $44.7M
Mar 24, 2021 to Mar 21, 2022
RAUM · $66.1M to $93.0M
Mar 24, 2021 to Mar 21, 2022
HNW clients · 25 to 26
Jun 17, 2020 to Mar 24, 2021
Individual clients · 107 to 106
Jun 17, 2020 to Mar 24, 2021
Financial planning clients · 1-10 to 0
Jun 17, 2020 to Mar 24, 2021
Discretionary RAUM · $66.8M to $66.1M
Jun 17, 2020 to Mar 24, 2021
HNW RAUM · $34.4M to $33.8M
Jun 17, 2020 to Mar 24, 2021
Individual RAUM · $32.3M to $32.3M
Jun 17, 2020 to Mar 24, 2021
RAUM · $66.8M to $66.1M
Jun 17, 2020 to Mar 24, 2021
Accounts · 129 to 132
Mar 29, 2019 to Mar 24, 2020
Charity clients · 0.0 to unset
Mar 29, 2019 to Mar 24, 2020
Corporate clients · 0.0 to unset
Mar 29, 2019 to Mar 24, 2020
HNW clients · 40 to 25
Mar 29, 2019 to Mar 24, 2020
Individual clients · 45 to 107
Mar 29, 2019 to Mar 24, 2020
Pension plan clients · 0.0 to unset
Mar 29, 2019 to Mar 24, 2020
Pooled vehicle clients · 0.0 to unset
Mar 29, 2019 to Mar 24, 2020
Discretionary RAUM · $58.6M to $66.8M
Mar 29, 2019 to Mar 24, 2020
HNW RAUM · $30.4M to $34.4M
Mar 29, 2019 to Mar 24, 2020
Individual RAUM · $5.4M to $32.3M
Mar 29, 2019 to Mar 24, 2020
RAUM · $58.6M to $66.8M
Mar 29, 2019 to Mar 24, 2020
Accounts · 125 to 129
Mar 27, 2018 to Mar 29, 2019
Charity clients · unset to 0.0
Mar 27, 2018 to Mar 29, 2019
Corporate clients · unset to 0.0
Mar 27, 2018 to Mar 29, 2019
HNW clients · 23 to 40
Mar 27, 2018 to Mar 29, 2019
Individual clients · 41 to 45
Mar 27, 2018 to Mar 29, 2019
Pension plan clients · unset to 0.0
Mar 27, 2018 to Mar 29, 2019
Pooled vehicle clients · unset to 0.0
Mar 27, 2018 to Mar 29, 2019
Financial planning clients · unset to 1-10
Mar 27, 2018 to Mar 29, 2019
Discretionary RAUM · $68.3M to $58.6M
Mar 27, 2018 to Mar 29, 2019
HNW RAUM · $37.0M to $30.4M
Mar 27, 2018 to Mar 29, 2019
Individual RAUM · $4.8M to $5.4M
Mar 27, 2018 to Mar 29, 2019
RAUM · $68.3M to $58.6M
Mar 27, 2018 to Mar 29, 2019
Accounts · 89 to 125
May 3, 2017 to Mar 27, 2018
Advisory activities · 2 to 1
May 3, 2017 to Mar 27, 2018
HNW clients · unset to 23.0
May 3, 2017 to Mar 27, 2018
Individual clients · unset to 41.0
May 3, 2017 to Mar 27, 2018
Other offices · unset to 0.0
May 3, 2017 to Mar 27, 2018
Discretionary RAUM · $62.1M to $68.3M
May 3, 2017 to Mar 27, 2018
HNW RAUM · unset to 37022588.0
May 3, 2017 to Mar 27, 2018
Individual RAUM · unset to 4758065.0
May 3, 2017 to Mar 27, 2018
RAUM · $62.1M to $68.3M
May 3, 2017 to Mar 27, 2018
Accounts · 122 to 89
Mar 28, 2016 to Mar 30, 2017
Discretionary RAUM · $82.6M to $62.1M
Mar 28, 2016 to Mar 30, 2017
RAUM · $82.6M to $62.1M
Mar 28, 2016 to Mar 30, 2017
Accounts · 101 to 122
Apr 1, 2015 to Mar 28, 2016
Discretionary RAUM · $84.9M to $82.6M
Apr 1, 2015 to Mar 28, 2016

Signals

1 dated events

••• Locked
Mar 26, 2015 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 18, 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: $78.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026