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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Former SEC-registered adviser

H••••• C•••••• A••••••• S•••••••• I•••

Former SEC-registered adviserFairport, New YorkCRD 146693SEC 801-70674IAPD
Latest filing Mar 19, 2018
First filing on the tape Mar 23, 2012 · 15 filings
RAUM
$70.7M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
99%
$70.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$70.7M as of Mar 19, 2018
Mar 23, 2012$44.6M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 19, 2018
Mar 8, 20131 then
Employees (5.A)4 as of Mar 19, 2018
Mar 8, 20135 then
Private funds: no history
RAUM +80% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2018; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$216,950derivedRAUM over accounts (5.F.2.f)
Discretionary
45%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+80%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$20.1MreportedItem 5.I
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
  • Individuals$70.3M99%
  • Pension and profit-sharing plans$397,4050.6%
Individual clients
326reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
326reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• D•••••• A• · Vice President And Chief Operations Officercontrol
      since 11/2017 · owns less than 5%
    • M••••• F••••• A•••••• · President/Chief Compliance Officercontrol
      since 01/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    • D•••••• J• S••••• C••• P•
      insurancen
    • H••••• F•••••••• G••••• I•••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    • Rochester, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 457 to 326
      Nov 29, 2017 to Mar 19, 2018
    • Charity clients · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • Corporate clients · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • HNW clients · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • Individual clients · unset to 326.0
      Nov 29, 2017 to Mar 19, 2018
    • Pension plan clients · unset to 1.0
      Nov 29, 2017 to Mar 19, 2018
    • Pooled vehicle clients · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • Discretionary RAUM · $39.3M to $31.9M
      Nov 29, 2017 to Mar 19, 2018
    • HNW RAUM · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • Individual RAUM · unset to 70328323.0
      Nov 29, 2017 to Mar 19, 2018
    • Non-discretionary RAUM · $0 to $38.9M
      Nov 29, 2017 to Mar 19, 2018
    • Pension RAUM · unset to 397405.0
      Nov 29, 2017 to Mar 19, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Nov 29, 2017 to Mar 19, 2018
    • RAUM · $39.3M to $70.7M
      Nov 29, 2017 to Mar 19, 2018
    • Other offices · unset to 1.0
      Sep 1, 2017 to Nov 29, 2017
    • Wrap assets (manager) · unset to 0.0
      Sep 1, 2017 to Nov 29, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Sep 1, 2017 to Nov 29, 2017
    • Accounts · 421 to 457
      Jul 8, 2016 to Mar 31, 2017
    • Financial planning clients · 26-50 to 11-25
      Jul 8, 2016 to Mar 31, 2017
    • Discretionary RAUM · $38.0M to $39.3M
      Jul 8, 2016 to Mar 31, 2017
    • RAUM · $38.0M to $39.3M
      Jul 8, 2016 to Mar 31, 2017
    • Organization form · Limited Liability Partnership to Corporation
      Mar 17, 2016 to Jul 8, 2016
    • Accounts · 479 to 421
      Sep 29, 2015 to Mar 17, 2016
    • Advisory employees · 4 to 3
      Sep 29, 2015 to Mar 17, 2016
    • BD registered reps · 4 to 0
      Sep 29, 2015 to Mar 17, 2016
    • Employees · 6 to 4
      Sep 29, 2015 to Mar 17, 2016
    • State-registered IARs · 2 to 0
      Sep 29, 2015 to Mar 17, 2016
    • Discretionary RAUM · $43.1M to $38.0M
      Sep 29, 2015 to Mar 17, 2016
    • RAUM · $43.1M to $38.0M
      Sep 29, 2015 to Mar 17, 2016
    • Accounts · 439 to 479
      Mar 26, 2014 to May 6, 2015
    • Employees · 5 to 6
      Mar 26, 2014 to May 6, 2015
    • Financial planning clients · 11-25 to 26-50
      Mar 26, 2014 to May 6, 2015
    • State-registered IARs · 1 to 2
      Mar 26, 2014 to May 6, 2015
    • Organization form · Corporation to Limited Liability Partnership
      Mar 26, 2014 to May 6, 2015
    • Discretionary RAUM · $49.5M to $43.1M
      Mar 26, 2014 to May 6, 2015
    • RAUM · $49.5M to $43.1M
      Mar 26, 2014 to May 6, 2015
    • Accounts · 388 to 439
      Jul 25, 2013 to Mar 26, 2014
    • BD registered reps · 5 to 4
      Jul 25, 2013 to Mar 26, 2014
    • Financial planning clients · 0 to 11-25
      Jul 25, 2013 to Mar 26, 2014
    • Discretionary RAUM · $29.4M to $49.5M
      Jul 25, 2013 to Mar 26, 2014
    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.
    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
    Former SEC-registered adviserderiveda 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