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Former SEC-registered adviser

L••••••••• A•••••••• L••

Former SEC-registered adviserBuffalo, New YorkCRD 156084SEC 801-72129IAPD
Latest filing Mar 30, 2015
First filing on the tape Feb 22, 2012 · 9 filings
RAUM
$335M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$335M as of Mar 30, 2015
Feb 22, 2012$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)6 as of Mar 30, 2015
Mar 28, 20135 then
Private funds: no history
RAUM +84% over the last fiscal year+45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
+84%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, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
115reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Left, latest
none on the tape
    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
      • H•••••• T•••••• J•••• · Managing Member, Managing Director And Chief Compliance Officercontrol
        since 01/2011 · owns less than 5%
      • R••••• J••••• J••••• · Managing Member And Managing Directorcontrol
        since 01/2011 · owns less than 5%
      • G•••••• W••••••• H•••• · Secretary
        since 12/2006 · owns 25% to 50% of C•••••• C•••••• C•••••••••
      • K••• B••••• B•••• · President
        since 01/2000 · owns 25% to 50% of C•••••• C•••••• C•••••••••
      • O••••••• R••••• M•••••• · Treasurer
        since 02/1991 · owns 25% to 50% of C•••••• C•••••• C•••••••••
      Entity owners
      • C•••••• C•••••• C••••••••• · Co-Owner
        direct · owns 50% to 75%
      • L••••• B••••••• G••••• L•• · Co-Owner
        direct · owns 50% to 75%
      • L••••• S••••••• I••• · Co-Owner
        indirect · owns 50% to 75% of L••••• B••••••• G••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Rochester, NY
      What changed
      consecutive filings, newest first
      • Accounts · 39 to 115
        May 7, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $216M to $335M
        May 7, 2014 to Mar 30, 2015
      • RAUM · $216M to $335M
        May 7, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $182M to $216M
        Mar 27, 2014 to May 7, 2014
      • RAUM · $182M to $216M
        Mar 27, 2014 to May 7, 2014
      • Accounts · 43 to 39
        Sep 5, 2013 to Mar 27, 2014
      • BD registered reps · 4 to 5
        Sep 5, 2013 to Mar 27, 2014
      • Employees · 5 to 6
        Sep 5, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $174M to $182M
        Sep 5, 2013 to Mar 27, 2014
      • RAUM · $174M to $182M
        Sep 5, 2013 to Mar 27, 2014
      • Accounts · 29 to 43
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • BD registered reps · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $125M to $174M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $125M to $174M
        Mar 29, 2012 to Mar 28, 2013
      • Accounts · 21 to 29
        Feb 22, 2012 to Mar 29, 2012
      • Insurance-licensed employees · 0 to 1
        Feb 22, 2012 to Mar 29, 2012
      • Non-discretionary RAUM · $111M to $125M
        Feb 22, 2012 to Mar 29, 2012
      • RAUM · $111M to $125M
        Feb 22, 2012 to Mar 29, 2012
      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