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
W•• A•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Nov 21, 2011 · 77 filings
SEC status approved since Jul 9, 2010
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.7B individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$59.6M
derived; firm RAUM over IAPD count
Employees
35
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$1.7B as of Mar 19, 2026
Mar 27, 2012$219M then
HNW client RAUM$845M as of Mar 19, 2026
Mar 20, 2018$93.9M then
State-registered IARs (5.B.3)18 as of Mar 19, 2026
Mar 15, 20131 then
Employees (5.A)35 as of Mar 19, 2026
Mar 15, 201315 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 18 to 18
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $531,164derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Financial planning clients
- 3,000reportedItem 5.H
- Custody
- $49.8M, 131 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$856M49%
- High-net-worth individuals$845M49%
- Corporations and businesses$14.6M0.8%
- Charitable organizations$14.2M0.8%
- Individual clients
- 2,851reported
- HNW clients
- 383reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 3,256reported
- Financial planning clients
- 3,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.8M for 131 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=20.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A• C•••••••••Certified Financial Planner | W••••••Sville, Ny | Dec 13, 2010 | 28 y | 0 |
| R••••• M••• L•••••••Certified Financial Planner | W••••••Sville, Ny | Oct 23, 2015 | 35 y | 0 |
| D•••• A•• B••••Certified Financial Planner | W••••••Sville, Ny | Apr 7, 2016 | 12 y | 0 |
| E••••• P••• O•••••••Certified Financial Planner | W••••••Sville, Ny | Oct 4, 2016 | 34 y | 1 |
| J••• A•••••• P••••••Certified Financial Planner | W••••••Sville, Ny | Oct 11, 2019 | 28 y | 0 |
| J••• M•••••• L••••••• | W••••••Sville, Ny | Jul 16, 2020 | 41 y | 3 |
| D•••• D• J••••• | W••••••Sville, Ny | Aug 4, 2020 | 31 y | 1 |
| R••••• E••••• K••••Certified Financial Planner | Orchard Park, Ny | Dec 18, 2020 | 37 y | 1 |
| P•••• T••••• L••••••• | W••••••Sville, Ny | Jan 28, 2021 | 14 y | 2 |
| L•••••• S•••Certified Financial Planner | W••••••Sville, Ny | May 26, 2021 | 23 y | 0 |
| J••• M•••• S•••••Certified Financial Planner | W••••••Sville, Ny | Aug 25, 2021 | 15 y | 0 |
| S••••• S•••••• | W••••••Sville, Ny | Nov 16, 2021 | 26 y | 0 |
| M•••••• G••••• | W••••••Sville, Ny | Nov 30, 2021 | 29 y | 0 |
| L•••••• J••• Z•••••••• | W••••••Sville, Ny | Nov 30, 2021 | 34 y | 0 |
| R••••• R••••• K•••• | W••••••Sville, Ny | Dec 2, 2021 | 46 y | 0 |
| S•••••• R•••••• C••••••••• | W••••••Sville, Ny | Dec 2, 2021 | 43 y | 0 |
| D••••• G••••••• | W••••••Sville, Ny | Feb 4, 2022 | 16 y | 0 |
| W•••••• D• M•••••••• | W••••••Sville, Ny | Mar 16, 2022 | 10 y | 0 |
| Z•••••• D• S•••••• | W••••••Sville, Ny | Aug 15, 2022 | 11 y | 0 |
| K•••• M•••••• M••• | Orchard Park, Ny | Dec 1, 2022 | 15 y | 1 |
| J••••••• L•• P•••••Certified Financial Planner | W••••••Sville, Ny | Dec 14, 2022 | 11 y | 1 |
| J••••• C••• M•••• | W••••••Sville, Ny | Dec 16, 2022 | 40 y | 0 |
| R•••••• A••••• C•••••Certified Financial Planner, Chartered Financial Consultant | W••••••Sville, Ny | Jun 30, 2023 | 41 y | 1 |
| N••••••• M• S••••••• | W••••••Sville, Ny | Mar 15, 2024 | 19 y | 0 |
| D•••• M••• K•••• | W••••••Sville, Ny | Jul 3, 2024 | 41 y | 0 |
| P•••••• J••••• C••••••Certified Financial Planner | W••••••Sville, Ny | Jan 28, 2025 | 12 y | 1 |
| A•••••• G••• V••••• | W••••••Sville, Ny | Mar 5, 2025 | 12 y | 0 |
| K••••••• E••••• K••••••• | Orchard Park, Ny | Jun 20, 2025 | 12 y | 1 |
| C••••• J• R•••• | W••••••Sville, Ny | May 29, 2026 | 12 y | 0 |
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 headcount4 left over 36 months
Left, latest
- C••••••••• D• U•••• to L•• F•••••••• L••Jul 9, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• C••••••••• W•••••• to C••••••••• F•••••••• N••••••Jan 21, 2025 · RIA to affiliated broker-dealer or bank
- J••••••• M•••••• J•••• to M•• I•••••••• S•••••••• L••Nov 13, 2024 · RIA to affiliated broker-dealer or bank
- E••• S•••• W•••••• to L•• F•••••••• L••Jan 24, 2024 · RIA to affiliated broker-dealer or bank
- C••••••••• P•••• to M•• I•••••••• S•••••••• L••Jan 31, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- K••••••• E••••• K••••••• from C•••••• G•••• • C• I••Jun 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• J••••• C•••••• from S••••••• I••••••••• M•••••••••Jan 28, 2025 · RIA to RIA
- J••••••• M•••••• J•••• from C•••••• G•••• • C• I••Apr 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• D• U•••• from C•••••• G•••• • C• I••Sep 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• A••••• C••••• from C•••••• G•••• • C• I••Jun 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••••• L•• P••••• from C•••••• G•••• • C• I••Dec 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••• M•••••• M••• from C•••••• G•••• • C• I••Dec 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• P•••• from C•••••• G•••• • C• I••Feb 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- P•••• T••••• L••••••• from C•••••• G•••• • C• I••Jan 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••• M•••••• L••••••• from C•••••• G•••• • C• I••Jul 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- E••••• P••• O••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 4, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from C•••••• G•••• • C• I••Jul 10, 2025 · Orchard Park, Ny
- 2 joined from C•••••• G•••• • C• I••Mar 25, 2024 · W••••••Sville, Ny
- 2 joined from C•••••• G•••• • C• I••Dec 31, 2022 · W••••••Sville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R•••••• A• · Membercontrolsince 05/2010 · owns 25% to 50%
- L•••••••• R•••••• M••• · Membercontrolsince 05/2011 · owns 10% to 25%
- P••••••• J•••• A•••••• · Managing Membercontrolsince 05/2010 · owns 50% to 75%
- S•••••••• N•••••••• M• · Chief Operations Officer / Chief Investment Officercontrolsince 03/2024 · owns less than 5%
- S••••••• Z••••••• D• · Chief Compliance Officer/ Chief Financial Officer Officercontrolsince 03/2022 · 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 |
|---|---|---|---|---|---|
| W••••••Sville, Ny · principal | 29 | 1 | 0 | ||
| Orchard Park, Ny | 4 | 0 | 0 | ||
| Amherst, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Orchard Park, NY5 employees
- Amherst, NY2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 19, 2026S•••••••• N•••••••• M• (CHIEF OPERATIONS OFFICER / CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-03-25 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- account count collapseChange between filings · filing Mar 19, 2026accounts (Item 5.F.2.f) moved from 6,673.0 to 3,256.0 (-51.0%) between the annual amendments of 2025-03-19 and 2026-03-19; the peer median change was +6.0% (1206 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 2.0% percentile
What changed
consecutive filings, newest first
- Accounts · 6,673 to 3,256Oct 16, 2025 to Mar 19, 2026
- BD registered reps · 21 to 20Oct 16, 2025 to Mar 19, 2026
- Charity clients · 10 to 9Oct 16, 2025 to Mar 19, 2026
- Corporate clients · 16 to 17Oct 16, 2025 to Mar 19, 2026
- HNW clients · 352 to 383Oct 16, 2025 to Mar 19, 2026
- Individual clients · 2,737 to 2,851Oct 16, 2025 to Mar 19, 2026
- Assets in custody · $34.3M to $49.8MOct 16, 2025 to Mar 19, 2026
- Employees · 39 to 35Oct 16, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to More than 500Oct 16, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.5B to $1.7BOct 16, 2025 to Mar 19, 2026
- HNW RAUM · $703M to $845MOct 16, 2025 to Mar 19, 2026
- Individual RAUM · $723M to $856MOct 16, 2025 to Mar 19, 2026
- RAUM · $1.5B to $1.7BOct 16, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 19, 2025 to Jul 14, 2025
- Accounts · 6,654 to 6,673Feb 10, 2025 to Mar 19, 2025
- Advisory employees · 19 to 18Feb 10, 2025 to Mar 19, 2025
- BD registered reps · 22 to 21Feb 10, 2025 to Mar 19, 2025
- Charity clients · 9 to 10Feb 10, 2025 to Mar 19, 2025
- HNW clients · 348 to 352Feb 10, 2025 to Mar 19, 2025
- Individual clients · 2,639 to 2,737Feb 10, 2025 to Mar 19, 2025
- Assets in custody · $38.8M to $34.3MFeb 10, 2025 to Mar 19, 2025
- Employees · 40 to 39Feb 10, 2025 to Mar 19, 2025
- Financial planning clients · More than 500 to 1-10Feb 10, 2025 to Mar 19, 2025
- State-registered IARs · 19 to 18Feb 10, 2025 to Mar 19, 2025
- Discretionary RAUM · $1.3B to $1.5BFeb 10, 2025 to Mar 19, 2025
- HNW RAUM · $636M to $703MFeb 10, 2025 to Mar 19, 2025
- Individual RAUM · $632M to $723MFeb 10, 2025 to Mar 19, 2025
- RAUM · $1.3B to $1.5BFeb 10, 2025 to Mar 19, 2025
- Advisory employees · 18 to 19May 20, 2024 to Feb 10, 2025
- Employees · 39 to 40May 20, 2024 to Feb 10, 2025
- State-registered IARs · 18 to 19May 20, 2024 to Feb 10, 2025
- Advisory employees · 17 to 18May 9, 2024 to May 20, 2024
- Employees · 38 to 39May 9, 2024 to May 20, 2024
- State-registered IARs · 17 to 18May 9, 2024 to May 20, 2024
- Advisory employees · 16 to 17Mar 25, 2024 to May 9, 2024
- BD registered reps · 21 to 22Mar 25, 2024 to May 9, 2024
- State-registered IARs · 16 to 17Mar 25, 2024 to May 9, 2024
- Accounts · 6,476 to 6,654Nov 17, 2023 to Mar 25, 2024
- Advisory employees · 17 to 16Nov 17, 2023 to Mar 25, 2024
- BD registered reps · 19 to 21Nov 17, 2023 to Mar 25, 2024
Signals
12 dated events
- 5 advisors left C•••••• G•••• • C• I•• (Orchard Park, NY) for W•• A•••• M••••••••• L•• on the same dayJul 10, 2025 · Team lift-out · derived
- C••••••••• D• U•••• left W•• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-07-10)Jul 9, 2025 · Advisor changed firm · fact
- M•••••• C••••••••• W•••••• left W•• A•••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-04-08)Jan 21, 2025 · Advisor changed firm · fact
- J••••••• M•••••• J•••• left W•• A•••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-02-05)Nov 13, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••• G•••• • C• I•• (W••••••sville, NY) for W•• A•••• M••••••••• L•• on the same dayMar 25, 2024 · Team lift-out · derived
- M N••••••• S••••••• (Chief Operations Officer / Chief Investment Officer) appeared on Schedule A of W•• A•••• M••••••••• L••Mar 25, 2024 · Control person joined · fact
- E••• S•••• W•••••• left W•• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-02-02)Jan 24, 2024 · Advisor changed firm · fact
- C••••••••• P•••• left W•• A•••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-03-17)Jan 31, 2023 · Advisor changed firm · fact
- 2 advisors left C•••••• G•••• • C• I•• (W••••••sville, NY) for W•• A•••• M••••••••• L•• within 12 daysDec 31, 2022 · Team lift-out · derived
- W•• A•••• M••••••••• L•• reported RAUM $1.2B, up 27% from $947.6M (2022-02-02 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- D Z•••••• S•••••• (Chief Compliance Officer) appeared on Schedule A of W•• A•••• M••••••••• L••Mar 21, 2022 · Control person joined · fact
- W•• A•••• M••••••••• L•• reported RAUM $673.7M, up 67% from $404.0M (2019-02-11 to 2019-02-20)Feb 20, 2019 · RAUM change · derived
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
- info@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jocchino@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jtopp@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- klichner@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lfranklin@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lwillard@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- maviles@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mberinger@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ckennedy@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- aschultz@wnyasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-626-0060reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-362-9229reportedpublished 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
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026