DFX Intelligence
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T•• P•••• C•••••• M••••••••• I•••
Independent wealth manager, based in Pittsford, New York, reporting $311M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $311M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +2.2%
- Private clients
- 100% of RAUM, $311M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 5
Every filed figure, and the identifiersCRD 131816 · SEC 801-78625 · 24 filingsShowHide
CRD 131816SEC 801-78625First filing on the tape Mar 5, 2012, latest Mar 10, 2026SEC status approved since Sep 30, 2013IAPD
RAUM
$311M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$311M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$311M as of Mar 10, 2026
Mar 5, 2012$26.5M then
HNW client RAUM$297M as of Mar 10, 2026
Mar 30, 2018$102M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 5, 20120 then
Employees (5.A)6 as of Mar 10, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +2.2% over the last fiscal year+12% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 10, 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
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$297M96%
- Individuals$14.0M4.5%
- Individual clients
- 26reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 217reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| J••• B•••• M••••••Chartered Financial Analyst | Pittsford, Ny | Sep 21, 2021 | 31 y | 0 |
| J••••••• M••••••• K••••••••• | Pittsford, Ny | May 20, 2025 | 10 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••••••• J•••• B•••• · Ceocontrolsince 01/2019 · owns 75% or more
- S•••••••• P•••• W•••••• · Chief Compliance Officersince 09/2021 · owns less than 5%
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 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 195 to 217Jun 13, 2025 to Mar 10, 2026
- HNW clients · 74 to 80Jun 13, 2025 to Mar 10, 2026
- Individual clients · 28 to 26Jun 13, 2025 to Mar 10, 2026
- State-registered IARs · 1 to 2Jun 13, 2025 to Mar 10, 2026
- Discretionary RAUM · $304M to $311MJun 13, 2025 to Mar 10, 2026
- HNW RAUM · $289M to $297MJun 13, 2025 to Mar 10, 2026
- Individual RAUM · $15.2M to $14.0MJun 13, 2025 to Mar 10, 2026
- RAUM · $304M to $311MJun 13, 2025 to Mar 10, 2026
- Advisory employees · 2 to 3Mar 20, 2025 to Jun 13, 2025
- Employees · 5 to 6Mar 20, 2025 to Jun 13, 2025
- Financial planning clients · 0 to 0Mar 20, 2025 to Jun 13, 2025
- State-registered IARs · 0 to 1Mar 20, 2025 to Jun 13, 2025
- Accounts · 199 to 195Mar 1, 2024 to Mar 20, 2025
- HNW clients · 75 to 74Mar 1, 2024 to Mar 20, 2025
- Individual clients · 26 to 28Mar 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $273M to $304MMar 1, 2024 to Mar 20, 2025
- HNW RAUM · $260M to $289MMar 1, 2024 to Mar 20, 2025
- Individual RAUM · $13.4M to $15.2MMar 1, 2024 to Mar 20, 2025
- RAUM · $273M to $304MMar 1, 2024 to Mar 20, 2025
- Accounts · 190 to 199Feb 13, 2023 to Mar 1, 2024
- HNW clients · 66 to 75Feb 13, 2023 to Mar 1, 2024
- Individual clients · 31 to 26Feb 13, 2023 to Mar 1, 2024
- Discretionary RAUM · $223M to $273MFeb 13, 2023 to Mar 1, 2024
- HNW RAUM · $208M to $260MFeb 13, 2023 to Mar 1, 2024
- Individual RAUM · $15.3M to $13.4MFeb 13, 2023 to Mar 1, 2024
- RAUM · $223M to $273MFeb 13, 2023 to Mar 1, 2024
- Accounts · 92 to 190Jan 30, 2023 to Feb 13, 2023
- HNW clients · 69 to 66Jan 30, 2023 to Feb 13, 2023
- Individual clients · 23 to 31Jan 30, 2023 to Feb 13, 2023
- Discretionary RAUM · $256M to $223MJan 30, 2023 to Feb 13, 2023
- HNW RAUM · $249M to $208MJan 30, 2023 to Feb 13, 2023
- Individual RAUM · $7.4M to $15.3MJan 30, 2023 to Feb 13, 2023
- RAUM · $256M to $223MJan 30, 2023 to Feb 13, 2023
- Accounts · 166 to 92Sep 17, 2021 to Mar 25, 2022
- Advisory employees · 1 to 2Sep 17, 2021 to Mar 25, 2022
- HNW clients · 100 to 69Sep 17, 2021 to Mar 25, 2022
- Individual clients · 25 to 23Sep 17, 2021 to Mar 25, 2022
- Employees · 3 to 5Sep 17, 2021 to Mar 25, 2022
- Financial planning clients · 1-10 to 0Sep 17, 2021 to Mar 25, 2022
- Other offices · 1 to 0Sep 17, 2021 to Mar 25, 2022
Signals
1 dated events
- ••• LockedSep 23, 2013 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026