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H•••• A•••• M••••••••• L••

Independent wealth managerSEC-registered· Rochester, New Yorkwebsite

Independent wealth manager, based in Rochester, New York, reporting $117M of regulatory assets.

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

Regulatory AUM
$117M
Form ADV
Advisors
0
IAPD
RAUM change, last fiscal year
-0.4%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $116M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 141220 · SEC 801-67003 · 22 filingsShow
CRD 141220SEC 801-67003First filing on the tape Mar 29, 2012, latest Mar 26, 2026SEC status approved since Jul 19, 2006IAPD
RAUM
$117M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$117M as of Mar 26, 2026
Mar 29, 2012$72.4M then
HNW client RAUM$97.6M as of Mar 26, 2026
Mar 27, 2018$87.0M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 26, 2026
Mar 25, 20133 then
Private funds: no history
RAUM -0.4% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$407,800derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-2.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$97.6M84%
  • Individuals$18.9M16%
  • Charitable organizations$137,8540.1%
Individual clients
83reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
286reported
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• C••••••••• C•••••• · President, Chief Compliance Officercontrol
        since 06/2006 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 310 to 286
        May 30, 2025 to Mar 26, 2026
      • Individual clients · 86 to 83
        May 30, 2025 to Mar 26, 2026
      • Discretionary RAUM · $93.3M to $92.2M
        May 30, 2025 to Mar 26, 2026
      • HNW RAUM · $96.7M to $97.6M
        May 30, 2025 to Mar 26, 2026
      • Individual RAUM · $20.3M to $18.9M
        May 30, 2025 to Mar 26, 2026
      Full history · 80 changes
      • Non-discretionary RAUM · $23.9M to $24.4M
        May 30, 2025 to Mar 26, 2026
      • RAUM · $117M to $117M
        May 30, 2025 to Mar 26, 2026
      • Charity clients · 1.0 to unset
        Mar 25, 2025 to May 30, 2025
      • Financial planning clients · 0 to 0
        Mar 25, 2025 to May 30, 2025
      • HNW clients · 31 to 29
        Mar 26, 2024 to Mar 25, 2025
      • Individual clients · 87 to 86
        Mar 26, 2024 to Mar 25, 2025
      • Discretionary RAUM · $113M to $93.3M
        Mar 26, 2024 to Mar 25, 2025
      • HNW RAUM · $115M to $96.7M
        Mar 26, 2024 to Mar 25, 2025
      • Individual RAUM · $18.8M to $20.3M
        Mar 26, 2024 to Mar 25, 2025
      • Non-discretionary RAUM · $21.1M to $23.9M
        Mar 26, 2024 to Mar 25, 2025
      • RAUM · $134M to $117M
        Mar 26, 2024 to Mar 25, 2025
      • Accounts · 307 to 310
        Mar 22, 2023 to Mar 26, 2024
      • Individual clients · 90 to 87
        Mar 22, 2023 to Mar 26, 2024
      • Discretionary RAUM · $116M to $113M
        Mar 22, 2023 to Mar 26, 2024
      • HNW RAUM · $117M to $115M
        Mar 22, 2023 to Mar 26, 2024
      • Individual RAUM · $16.9M to $18.8M
        Mar 22, 2023 to Mar 26, 2024
      • Non-discretionary RAUM · $17.8M to $21.1M
        Mar 22, 2023 to Mar 26, 2024
      • RAUM · $134M to $134M
        Mar 22, 2023 to Mar 26, 2024
      • Accounts · 314 to 307
        Mar 28, 2022 to Mar 22, 2023
      • HNW clients · 29 to 31
        Mar 28, 2022 to Mar 22, 2023
      • Individual clients · 94 to 90
        Mar 28, 2022 to Mar 22, 2023
      • Discretionary RAUM · $106M to $116M
        Mar 28, 2022 to Mar 22, 2023
      • HNW RAUM · $94.2M to $117M
        Mar 28, 2022 to Mar 22, 2023
      • Individual RAUM · $33.1M to $16.9M
        Mar 28, 2022 to Mar 22, 2023
      • Non-discretionary RAUM · $21.8M to $17.8M
        Mar 28, 2022 to Mar 22, 2023
      • RAUM · $127M to $134M
        Mar 28, 2022 to Mar 22, 2023
      • Accounts · 121 to 314
        Mar 29, 2021 to Mar 28, 2022
      • Advisory employees · 3 to 4
        Mar 29, 2021 to Mar 28, 2022
      • HNW clients · 32 to 29
        Mar 29, 2021 to Mar 28, 2022
      • Individual clients · 88 to 94
        Mar 29, 2021 to Mar 28, 2022
      • Employees · 3 to 4
        Mar 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $93.8M to $106M
        Mar 29, 2021 to Mar 28, 2022
      • HNW RAUM · $90.0M to $94.2M
        Mar 29, 2021 to Mar 28, 2022
      • Individual RAUM · $17.5M to $33.1M
        Mar 29, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $13.8M to $21.8M
        Mar 29, 2021 to Mar 28, 2022
      • RAUM · $108M to $127M
        Mar 29, 2021 to Mar 28, 2022
      • Accounts · 297 to 121
        Oct 16, 2020 to Mar 29, 2021
      • HNW clients · 18 to 32
        Oct 16, 2020 to Mar 29, 2021
      • Individual clients · 121 to 88
        Oct 16, 2020 to Mar 29, 2021
      • Discretionary RAUM · $101M to $93.8M
        Oct 16, 2020 to Mar 29, 2021
      • HNW RAUM · $104M to $90.0M
        Oct 16, 2020 to Mar 29, 2021
      • Individual RAUM · $5.2M to $17.5M
        Oct 16, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $8.3M to $13.8M
        Oct 16, 2020 to Mar 29, 2021
      • RAUM · $110M to $108M
        Oct 16, 2020 to Mar 29, 2021
      • Charity clients · unset to 1.0
        Mar 27, 2020 to May 5, 2020
      • Accounts · 299 to 297
        Mar 26, 2019 to Mar 27, 2020
      • Discretionary RAUM · $90.2M to $101M
        Mar 26, 2019 to Mar 27, 2020
      • HNW RAUM · $78.6M to $104M
        Mar 26, 2019 to Mar 27, 2020
      • Individual RAUM · $22.9M to $5.2M
        Mar 26, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $11.4M to $8.3M
        Mar 26, 2019 to Mar 27, 2020
      • RAUM · $102M to $110M
        Mar 26, 2019 to Mar 27, 2020
      • Accounts · 319 to 299
        Mar 27, 2018 to Mar 26, 2019
      • Advisory employees · 2 to 3
        Mar 27, 2018 to Mar 26, 2019
      • HNW clients · 36 to 18
        Mar 27, 2018 to Mar 26, 2019
      • Individual clients · 98 to 121
        Mar 27, 2018 to Mar 26, 2019
      • Discretionary RAUM · $100M to $90.2M
        Mar 27, 2018 to Mar 26, 2019
      • HNW RAUM · $87.0M to $78.6M
        Mar 27, 2018 to Mar 26, 2019
      • Individual RAUM · $18.7M to $22.9M
        Mar 27, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $5.6M to $11.4M
        Mar 27, 2018 to Mar 26, 2019
      • RAUM · $106M to $102M
        Mar 27, 2018 to Mar 26, 2019
      • Accounts · 316 to 319
        Mar 31, 2017 to Mar 27, 2018
      • HNW clients · unset to 36.0
        Mar 31, 2017 to Mar 27, 2018
      • Individual clients · unset to 98.0
        Mar 31, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Discretionary RAUM · $76.7M to $100M
        Mar 31, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 86968153.0
        Mar 31, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 18663954.0
        Mar 31, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $5.0M to $5.6M
        Mar 31, 2017 to Mar 27, 2018
      • RAUM · $81.7M to $106M
        Mar 31, 2017 to Mar 27, 2018
      • Accounts · 302 to 316
        Mar 23, 2016 to Mar 31, 2017
      • Discretionary RAUM · $77.7M to $76.7M
        Mar 23, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $7.4M to $5.0M
        Mar 23, 2016 to Mar 31, 2017
      • RAUM · $85.1M to $81.7M
        Mar 23, 2016 to Mar 31, 2017
      • Accounts · 313 to 302
        Mar 18, 2015 to Mar 23, 2016
      • Discretionary RAUM · $85.9M to $77.7M
        Mar 18, 2015 to Mar 23, 2016
      Signals
      No event on the tape.
      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
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 26, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.