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

A••• A•••••••• L••

Former SEC-registered adviserRochester, New YorkCRD 149362SEC 801-78007IAPD
Latest filing Feb 18, 2021
First filing on the tape Apr 24, 2013 · 12 filings
RAUM
$78.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$78.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$78.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$78.0M as of Feb 18, 2021
Feb 26, 2014$35.4M then
HNW client RAUM$66.3M as of Feb 18, 2021
Feb 15, 2018$47.7M then
State-registered IARs (5.B.3)1 as of Feb 18, 2021
Feb 26, 20141 then
Employees (5.A)1 as of Feb 18, 2021
Feb 26, 20141 then
Private funds: no history
RAUM +9.6% over the last fiscal year+9.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 18, 2021; every figure names its basis
RAUM per advisor
$78.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$530,846derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • High-net-worth individuals$66.3M85%
  • Individuals$11.7M15%
Individual clients
24reported
HNW clients
23reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
147reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E•••••••• A•• B••••••Certified Financial PlannerRochester, NyJan 4, 202322 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• E••••••••• A•• · Managing Member/Chief Compliance Officercontrol
    since 01/2009 · 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 · 146 to 147
    Jun 12, 2020 to Feb 18, 2021
  • HNW clients · 18 to 23
    Jun 12, 2020 to Feb 18, 2021
  • Individual clients · 38 to 24
    Jun 12, 2020 to Feb 18, 2021
  • Financial planning clients · 0 to unset
    Jun 12, 2020 to Feb 18, 2021
  • Discretionary RAUM · $68.1M to $77.4M
    Jun 12, 2020 to Feb 18, 2021
  • HNW RAUM · $53.9M to $66.3M
    Jun 12, 2020 to Feb 18, 2021
  • Individual RAUM · $17.3M to $11.7M
    Jun 12, 2020 to Feb 18, 2021
  • Non-discretionary RAUM · $3.1M to $637,692
    Jun 12, 2020 to Feb 18, 2021
  • RAUM · $71.2M to $78.0M
    Jun 12, 2020 to Feb 18, 2021
  • Accounts · 136 to 146
    Feb 1, 2019 to Feb 28, 2020
  • HNW clients · 17 to 18
    Feb 1, 2019 to Feb 28, 2020
  • Individual clients · 34 to 38
    Feb 1, 2019 to Feb 28, 2020
  • Financial planning clients · unset to 0
    Feb 1, 2019 to Feb 28, 2020
  • State-registered IARs · 0 to 1
    Feb 1, 2019 to Feb 28, 2020
  • Discretionary RAUM · $58.1M to $68.1M
    Feb 1, 2019 to Feb 28, 2020
  • HNW RAUM · $45.5M to $53.9M
    Feb 1, 2019 to Feb 28, 2020
  • Individual RAUM · $12.6M to $17.3M
    Feb 1, 2019 to Feb 28, 2020
  • Non-discretionary RAUM · $0 to $3.1M
    Feb 1, 2019 to Feb 28, 2020
  • RAUM · $58.1M to $71.2M
    Feb 1, 2019 to Feb 28, 2020
  • Accounts · 145 to 136
    Feb 15, 2018 to Feb 1, 2019
  • HNW clients · 18 to 17
    Feb 15, 2018 to Feb 1, 2019
  • Individual clients · 48 to 34
    Feb 15, 2018 to Feb 1, 2019
  • State-registered IARs · 1 to 0
    Feb 15, 2018 to Feb 1, 2019
  • Discretionary RAUM · $59.2M to $58.1M
    Feb 15, 2018 to Feb 1, 2019
  • HNW RAUM · $47.7M to $45.5M
    Feb 15, 2018 to Feb 1, 2019
  • Individual RAUM · $11.5M to $12.6M
    Feb 15, 2018 to Feb 1, 2019
  • RAUM · $59.2M to $58.1M
    Feb 15, 2018 to Feb 1, 2019
  • Accounts · 151 to 145
    Mar 10, 2017 to Feb 15, 2018
  • Advisory activities · 2 to 1
    Mar 10, 2017 to Feb 15, 2018
  • Charity clients · unset to 0.0
    Mar 10, 2017 to Feb 15, 2018
  • Corporate clients · unset to 0.0
    Mar 10, 2017 to Feb 15, 2018
  • HNW clients · unset to 18.0
    Mar 10, 2017 to Feb 15, 2018
  • Individual clients · unset to 48.0
    Mar 10, 2017 to Feb 15, 2018
  • Pension plan clients · unset to 0.0
    Mar 10, 2017 to Feb 15, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 10, 2017 to Feb 15, 2018
  • Financial planning clients · 11-25 to unset
    Mar 10, 2017 to Feb 15, 2018
  • Other offices · unset to 0.0
    Mar 10, 2017 to Feb 15, 2018
  • Discretionary RAUM · $47.9M to $59.2M
    Mar 10, 2017 to Feb 15, 2018
  • HNW RAUM · unset to 47679561.0
    Mar 10, 2017 to Feb 15, 2018
  • Individual RAUM · unset to 11495800.0
    Mar 10, 2017 to Feb 15, 2018
Signals
2 dated events
  • E•••••••• A•• B•••••• left A••• A•••••••• L•• for A••••••••• C•••••• M••••••••• I••• (registered 2022-01-07)
    Jan 20, 2022 · Advisor changed firm · fact
  • A••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 24, 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.
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
$78.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026