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.
SEC-registered adviser
Generation Capital Management LLC
Latest filing Aug 7, 2026
First filing on the tape Mar 28, 2012 · 25 filings
SEC status approved since Jun 5, 2009
RAUM
$1.2B
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
15%
$172M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$577M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.2B as of Aug 7, 2026
Mar 28, 2012$356M then
HNW client RAUM$140M as of Aug 7, 2026
Mar 27, 2018$49.0M then
State-registered IARs (5.B.3)1 as of Aug 7, 2026
Apr 1, 20130 then
Employees (5.A)4 as of Aug 7, 2026
Apr 1, 20133 then
Private funds1 as of Mar 31, 2020
Mar 28, 20121 then
RAUM +12% over the last fiscal year+11% a year over threeIARs 2 to 1offices 0 to 1
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $577MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%derivedof RAUM
- Institutional
- 85%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$954M83%
- High-net-worth individuals$140M12%
- Individuals$32.2M2.8%
- Charitable organizations$22.4M1.9%
- Pension and profit-sharing plans$5.1M0.4%
- Individual clients
- 205reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 481reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.15 fund_share=0.0 institutional_share=0.85 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 |
|---|---|---|---|---|
| Scott NascaChartered Financial Analyst | Pittsford, Ny | Aug 17, 2021 | 23 y | 0 |
| Torry Whitcher | Pittsford, Ny | Aug 4, 2026 | 11 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- John Robert Howe to Hamewith WealthFeb 10, 2026 · Other
- Kasey Lee Wopperer to OnesevenMay 31, 2022 · Other
Joined, latest
- Torry Whitcher from Rfg Advisory, LLCAug 4, 2026 · Other
- John Robert Howe from LPL Financial LLCNov 4, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Generation Multi-Manager Fund, LPno longer reported | Hedge Fund | $8,968 | 2 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Anne Mary Dejohn · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- Scott Nasca · Presidentcontrolsince 09/2003 · 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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 11, 2026 to Aug 7, 2026
- Accounts · 406 to 481Mar 12, 2025 to Mar 11, 2026
- Advisory employees · 3 to 1Mar 12, 2025 to Mar 11, 2026
- HNW clients · 65 to 70Mar 12, 2025 to Mar 11, 2026
- Individual clients · 167 to 205Mar 12, 2025 to Mar 11, 2026
- Employees · 6 to 4Mar 12, 2025 to Mar 11, 2026
- State-registered IARs · 2 to 1Mar 12, 2025 to Mar 11, 2026
- Discretionary RAUM · $159M to $203MMar 12, 2025 to Mar 11, 2026
- HNW RAUM · $109M to $140MMar 12, 2025 to Mar 11, 2026
- Individual RAUM · $26.2M to $32.2MMar 12, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $870M to $951MMar 12, 2025 to Mar 11, 2026
- Pension RAUM · $4.4M to $5.1MMar 12, 2025 to Mar 11, 2026
- RAUM · $1.0B to $1.2BMar 12, 2025 to Mar 11, 2026
- Accounts · 323 to 406Jul 12, 2024 to Mar 12, 2025
- Advisory employees · 2 to 3Jul 12, 2024 to Mar 12, 2025
- Corporate clients · unset to 0.0Jul 12, 2024 to Mar 12, 2025
- HNW clients · 46 to 65Jul 12, 2024 to Mar 12, 2025
- Individual clients · 142 to 167Jul 12, 2024 to Mar 12, 2025
- Pooled vehicle clients · unset to 0.0Jul 12, 2024 to Mar 12, 2025
- Financial planning clients · 11-25 to 26-50Jul 12, 2024 to Mar 12, 2025
- Discretionary RAUM · $129M to $159MJul 12, 2024 to Mar 12, 2025
- HNW RAUM · $88.0M to $109MJul 12, 2024 to Mar 12, 2025
- Individual RAUM · $20.8M to $26.2MJul 12, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $788M to $870MJul 12, 2024 to Mar 12, 2025
- Pension RAUM · $3.9M to $4.4MJul 12, 2024 to Mar 12, 2025
- RAUM · $917M to $1.0BJul 12, 2024 to Mar 12, 2025
- Accounts · 293 to 323Feb 29, 2024 to Mar 21, 2024
- Advisory employees · 1 to 2Feb 29, 2024 to Mar 21, 2024
- HNW clients · 50 to 46Feb 29, 2024 to Mar 21, 2024
- Individual clients · 132 to 142Feb 29, 2024 to Mar 21, 2024
- Employees · 5 to 6Feb 29, 2024 to Mar 21, 2024
- Financial planning clients · 1-10 to 11-25Feb 29, 2024 to Mar 21, 2024
- Discretionary RAUM · $109M to $129MFeb 29, 2024 to Mar 21, 2024
- HNW RAUM · $76.8M to $88.0MFeb 29, 2024 to Mar 21, 2024
- Individual RAUM · $14.7M to $20.8MFeb 29, 2024 to Mar 21, 2024
- Non-discretionary RAUM · $732M to $788MFeb 29, 2024 to Mar 21, 2024
- Pension RAUM · $2.5M to $3.9MFeb 29, 2024 to Mar 21, 2024
- RAUM · $840M to $917MFeb 29, 2024 to Mar 21, 2024
- Individual RAUM · $12.7M to $14.7MJun 24, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $741M to $732MJun 24, 2022 to Mar 23, 2023
Signals
6 dated events
- John Robert Howe left Generation Capital Management Llc for Hamewith Wealth (registered 2026-02-25)Feb 10, 2026 · Advisor changed firm · fact
- Anne Mary Dejohn (Chief Compliance Officer) appeared on Schedule A of Generation Capital Management LlcJan 2, 2024 · Control person joined · fact
- Lee Kasey Wopperer (Director Of Equity Research And Investments) no longer on Schedule A of Generation Capital Management Llc (listed 2022-03-29, absent 2022-06-23)Jun 23, 2022 · Control person left · inference
- Kasey Lee Wopperer left Generation Capital Management Llc for Oneseven (registered 2022-07-19)May 31, 2022 · Advisor changed firm · fact
- Lee Kasey Wopperer (Director Of Equity Research And Investments) appeared on Schedule A of Generation Capital Management LlcMar 29, 2022 · Control person joined · fact
- S Ron Geffner (Managing Member) no longer on Schedule A of Generation Capital Management Llc (listed 2020-06-29, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
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
- Firm profile
- linkedin.com/company/generation-capital-management-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- GENCAPMGMT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 585-232-8560reportedpublic record, Form ADV, Aug 7, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $577Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026