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
M•••••• A••••••• G••••• L••
Latest filing Sep 17, 2026
First filing on the tape Nov 7, 2012 · 31 filings
SEC status approved since Nov 14, 2012
RAUM
$443M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$443M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$443M as of Apr 8, 2026
Mar 22, 2013$123M then
HNW client RAUM$209M as of Apr 8, 2026
Mar 9, 2018$59.7M then
State-registered IARs (5.B.3)4 as of Apr 8, 2026
Mar 22, 20130 then
Employees (5.A)7 as of Apr 8, 2026
Mar 22, 20136 then
Private funds: no history
RAUM +9.4% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 227derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $307,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%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
- is an insurance broker or agent (6.A.6)
- 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$234M53%
- High-net-worth individuals$209M47%
- Corporations and businesses$272,7890.1%
- Individual clients
- 777reported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,439reported
- Financial planning clients
- n/areported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••••• C••••••• | Williamsville, Ny | Feb 12, 2014 | 16 y | 1 |
| J•••••• A••••• C••••••• | Williamsville, Ny | Feb 12, 2014 | 37 y | 1 |
| C••••• L••• F••••• | Williamsville, Ny | Jun 19, 2020 | 23 y | 0 |
| C••••• P• A•••• | Williamsville, Ny | Feb 14, 2023 | 11 y | 1 |
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
- C••••• P• A•••• from E•••••••• A•••••••• L••Feb 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••• C••••••• from L•• F•••••••• L••Feb 12, 2014 · Other
- J•••••• A••••• C••••••• from L•• F•••••••• L••Feb 12, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••••• A••••• · Investment Advisercontrolsince 10/2021 · owns less than 5%
- C•••••••• S••••• M•••••• · Managing Partnercontrolsince 03/2024 · owns 75% or more
- F•••••• C•••••• L••• · Chief Compliance Officercontrolsince 05/2022 · 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 |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dunkirk, NY2 employees
- Liverpool, NY2 employees
- Oswego, NY2 employees
- Watertown, NY2 employees
- West Falls, NY2 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetApr 8, 2026 to Sep 17, 2026
- Related adviser · false to unsetApr 8, 2026 to Sep 17, 2026
- Related bank · false to unsetApr 8, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetApr 8, 2026 to Sep 17, 2026
- Related insurance company · false to unsetApr 8, 2026 to Sep 17, 2026
- Succession · false to unsetApr 8, 2026 to Sep 17, 2026
- HNW RAUM · $171M to $209MMar 14, 2025 to Mar 11, 2026
- Individual RAUM · $234M to $234MMar 14, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $2.4M to $2.5MMar 14, 2025 to Mar 11, 2026
- RAUM · $405M to $443MMar 14, 2025 to Mar 11, 2026
- Accounts · 1,401 to 1,439Mar 14, 2025 to Mar 11, 2026
- HNW clients · 111 to 129Mar 14, 2025 to Mar 11, 2026
- Individual clients · 784 to 777Mar 14, 2025 to Mar 11, 2026
- Financial planning clients · 0 to Mar 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $403M to $441MMar 14, 2025 to Mar 11, 2026
- Accounts · 1,306 to 1,401Mar 14, 2024 to Mar 14, 2025
- HNW clients · 75 to 111Mar 14, 2024 to Mar 14, 2025
- Individual clients · 777 to 784Mar 14, 2024 to Mar 14, 2025
- Employees · 6 to 7Mar 14, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $347M to $403MMar 14, 2024 to Mar 14, 2025
- HNW RAUM · $122M to $171MMar 14, 2024 to Mar 14, 2025
- Individual RAUM · $227M to $234MMar 14, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $2.1M to $2.4MMar 14, 2024 to Mar 14, 2025
- RAUM · $349M to $405MMar 14, 2024 to Mar 14, 2025
- Accounts · 1,198 to 1,306Jul 28, 2023 to Mar 11, 2024
- HNW clients · 57 to 75Jul 28, 2023 to Mar 11, 2024
- Individual clients · 772 to 777Jul 28, 2023 to Mar 11, 2024
- Discretionary RAUM · $310M to $347MJul 28, 2023 to Mar 11, 2024
- HNW RAUM · $87.6M to $122MJul 28, 2023 to Mar 11, 2024
- Individual RAUM · $225M to $227MJul 28, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $2.3M to $2.1MJul 28, 2023 to Mar 11, 2024
- RAUM · $313M to $349MJul 28, 2023 to Mar 11, 2024
- Accounts · 1,183 to 1,198Oct 27, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Oct 27, 2022 to Mar 28, 2023
- HNW clients · 145 to 57Oct 27, 2022 to Mar 28, 2023
- Individual clients · 839 to 772Oct 27, 2022 to Mar 28, 2023
- State-registered IARs · 3 to 4Oct 27, 2022 to Mar 28, 2023
- Other offices · 4 to 5Oct 27, 2022 to Mar 28, 2023
- Discretionary RAUM · $336M to $310MOct 27, 2022 to Mar 28, 2023
Signals
2 dated events
- Lynn Cheryl Fluker (Chief Compliance Officer) appeared on Schedule A of M•••••• A••••••• G••••• L••Jun 1, 2022 · Control person joined · fact
- M•••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Nov 7, 2012 · 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
- 800-281-6996reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-632-1119reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-632-4066reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (716) 632-4066reportedpublic record, Form ADV, Sep 17, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026