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••••••• • C•••••• A•••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Apr 7, 2015 · 19 filings
SEC status approved since Apr 16, 2015
RAUM
$90.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$90.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$90.8M as of Mar 31, 2026
Mar 31, 2016$25.2M then
HNW client RAUM$43.4M as of Mar 31, 2026
Mar 28, 2018$1.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20161 then
Employees (5.A)1 as of Mar 31, 2026
Mar 31, 20162 then
Private funds: no history
RAUM +30% over the last fiscal year+13% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 300derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $161,533derivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- has custody of client securities (9.A.1.b)
- 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$47.0M52%
- High-net-worth individuals$43.4M48%
- Corporations and businesses$329,3280.4%
- Charitable organizations$34,3620.0%
- Individual clients
- 262reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 562reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R••• M•••••• C•••••• to P•••••• A•••••• G••••• L••Mar 31, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••• M•••••• C•••••• from B••••••• S••••••••• C••••Mar 31, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• G••••••• L•• · Presidentcontrolsince 11/2005 · owns 75% or more
- C••••••• D••••• M• · Chief Compliance Officersince 04/2015 · owns less than 5%
Related persons
Schedule D 7.A
- G•••••• L• S•••••••insuranceinvestment companyy
- G•••••• L• S•••••••real estatey
- G•••••• L• S•••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $70,049,727 to $90,781,774 (+30.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (219 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 539 to 562Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 5 to 4Mar 31, 2025 to Mar 31, 2026
- HNW clients · 33 to 38Mar 31, 2025 to Mar 31, 2026
- Individual clients · 303 to 262Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $7.4M to $8.1MMar 31, 2025 to Mar 31, 2026
- HQ city · ROCHESTER to JACKSONVILLEMar 31, 2025 to Mar 31, 2026
- HQ state · NY to FLMar 31, 2025 to Mar 31, 2026
- Other offices · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $70.0M to $90.8MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $26.8M to $43.4MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $42.8M to $47.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $70.0M to $90.8MMar 31, 2025 to Mar 31, 2026
- Succession · true to falseMar 31, 2025 to Mar 31, 2026
- Accounts · 476 to 539Mar 30, 2024 to Mar 31, 2025
- Charity clients · 0 to 1Mar 30, 2024 to Mar 31, 2025
- Corporate clients · 7 to 5Mar 30, 2024 to Mar 31, 2025
- HNW clients · 27 to 33Mar 30, 2024 to Mar 31, 2025
- Individual clients · 264 to 303Mar 30, 2024 to Mar 31, 2025
- Assets in custody · unset to 7443366.0Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 1-10Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $62.8M to $70.0MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $23.1M to $26.8MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $39.3M to $42.8MMar 30, 2024 to Mar 31, 2025
- RAUM · $62.8M to $70.0MMar 30, 2024 to Mar 31, 2025
- Succession · false to trueMar 30, 2024 to Mar 31, 2025
- Accounts · 535 to 476Apr 3, 2023 to Mar 30, 2024
- Corporate clients · 3 to 7Apr 3, 2023 to Mar 30, 2024
- HNW clients · 25 to 27Apr 3, 2023 to Mar 30, 2024
- Individual clients · 307 to 264Apr 3, 2023 to Mar 30, 2024
- Employees · 2 to 1Apr 3, 2023 to Mar 30, 2024
- Financial planning clients · 1-10 to 0Apr 3, 2023 to Mar 30, 2024
- Discretionary RAUM · $63.1M to $62.8MApr 3, 2023 to Mar 30, 2024
- HNW RAUM · $21.8M to $23.1MApr 3, 2023 to Mar 30, 2024
- Individual RAUM · $40.8M to $39.3MApr 3, 2023 to Mar 30, 2024
- RAUM · $63.1M to $62.8MApr 3, 2023 to Mar 30, 2024
- Accounts · 476 to 535Mar 31, 2022 to Apr 3, 2023
- Advisory employees · 2 to 1Mar 31, 2022 to Apr 3, 2023
- Corporate clients · 0 to 3Mar 31, 2022 to Apr 3, 2023
- HNW clients · 19 to 25Mar 31, 2022 to Apr 3, 2023
- Individual clients · 278 to 307Mar 31, 2022 to Apr 3, 2023
Signals
3 dated events
- S••••••• • C•••••• A•••• M••••••••• I••• reported succeeding to the business of S••••••• • C•••••• A•••• M••••••••• I••• (Form ADV Item 4)Mar 31, 2025 · Succession (Item 4) · fact
- R••• M•••••• C•••••• left S••••••• • C•••••• A•••• M••••••••• I••• for P•••••• A•••••• G••••• L•• (registered 2024-05-03)Mar 31, 2023 · a•••••• firm change · fact
- S••••••• • C•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 7, 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
- Business email
- i•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- d•••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- g••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- k••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- t•••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-563-4300reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-563-8536reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-563-8538reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••••-&-COMPANY-ASSET-MANAGEMENT-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G••••••S•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-563-8626reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026