DFX Intelligence
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C•••••••• A•••••••• L••
Independent wealth manager, based in Williamsville, New York, reporting $46.5M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $46.5M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.1%
- Private clients
- 87% of RAUM, $40.6M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 158928 · SEC 801-114340 · 19 filingsShowHide
CRD 158928SEC 801-114340First filing on the tape Oct 26, 2018, latest Mar 19, 2026SEC status approved since Dec 21, 2018IAPD
RAUM
$46.5M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
87%
$40.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$46.5M
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
19 filings and snapshots on the tape
RAUM$46.5M as of Mar 19, 2026
Mar 12, 2019$47.1M then
HNW client RAUM$32.5M as of Mar 19, 2026
Mar 12, 2019$24.1M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 12, 20191 then
Employees (5.A)1 as of Mar 19, 2026
Mar 12, 20191 then
Private funds: no history
RAUM +9.1% over the last fiscal year-3.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $176,291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 7.0%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
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$32.5M74%
- Individuals$8.1M19%
- Pension and profit-sharing plans$3.3M7.4%
- Individual clients
- 32reported
- HNW clients
- 23reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 264reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M• M•••••••Certified Financial Planner | Williamsville, Ny | Aug 9, 2021 | 20 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S••••• M• · President/ Chief Compliance Officer / Trusteecontrolsince 05/2011 · owns less than 5%
- M•••••••• S••••• M•••••• · Trusteecontrolsince 11/2012 · owns 75% or more of M••••••• F••••• I••••••••• T••••
- P••••• K••••• L•• · Trusteesince 11/2012 · owns less than 5%
- P••••• K••••• L•• · Trusteesince 11/2012 · owns 75% or more of M••••••• F••••• I••••••••• T••••
Entity owners
- M••••••• F••••• I••••••••• T•••• · Non-Voting Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• C••••••••• I••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 247 to 264Mar 6, 2025 to Mar 19, 2026
- Discretionary RAUM · $34.1M to $37.6MMar 6, 2025 to Mar 19, 2026
- HNW RAUM · $29.9M to $32.5MMar 6, 2025 to Mar 19, 2026
- Individual RAUM · $8.1M to $8.1MMar 6, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $8.5M to $8.9MMar 6, 2025 to Mar 19, 2026
- Pension RAUM · $2.4M to $3.3MMar 6, 2025 to Mar 19, 2026
- RAUM · $42.7M to $46.5MMar 6, 2025 to Mar 19, 2026
- Accounts · 276 to 247Mar 12, 2024 to Mar 6, 2025
- HNW clients · 20 to 23Mar 12, 2024 to Mar 6, 2025
- Individual clients · 34 to 32Mar 12, 2024 to Mar 6, 2025
- Pension plan clients · 3 to 5Mar 12, 2024 to Mar 6, 2025
- Financial planning clients · 11-25 to 11-25Mar 12, 2024 to Mar 6, 2025
- Discretionary RAUM · $35.1M to $34.1MMar 12, 2024 to Mar 6, 2025
- HNW RAUM · $30.4M to $29.9MMar 12, 2024 to Mar 6, 2025
- Individual RAUM · $8.4M to $8.1MMar 12, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $7.4M to $8.5MMar 12, 2024 to Mar 6, 2025
- Pension RAUM · $1.8M to $2.4MMar 12, 2024 to Mar 6, 2025
- RAUM · $42.6M to $42.7MMar 12, 2024 to Mar 6, 2025
- Accounts · 252 to 276Apr 25, 2023 to Mar 12, 2024
- HNW clients · 19 to 20Apr 25, 2023 to Mar 12, 2024
- Individual clients · 33 to 34Apr 25, 2023 to Mar 12, 2024
- Financial planning clients · 26-50 to 11-25Apr 25, 2023 to Mar 12, 2024
- Discretionary RAUM · $42.4M to $35.1MApr 25, 2023 to Mar 12, 2024
- HNW RAUM · $41.2M to $30.4MApr 25, 2023 to Mar 12, 2024
- Individual RAUM · $7.3M to $8.4MApr 25, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $8.6M to $7.4MApr 25, 2023 to Mar 12, 2024
- Pension RAUM · $614,371 to $1.8MApr 25, 2023 to Mar 12, 2024
- RAUM · $51.0M to $42.6MApr 25, 2023 to Mar 12, 2024
- Accounts · 215 to 252Mar 23, 2022 to Mar 15, 2023
- HNW clients · 21 to 19Mar 23, 2022 to Mar 15, 2023
- Individual clients · 38 to 33Mar 23, 2022 to Mar 15, 2023
- Pension plan clients · 2 to 3Mar 23, 2022 to Mar 15, 2023
- Assets in custody · $5.0M to $0Mar 23, 2022 to Mar 15, 2023
- Discretionary RAUM · $29.2M to $42.4MMar 23, 2022 to Mar 15, 2023
- HNW RAUM · $25.5M to $41.2MMar 23, 2022 to Mar 15, 2023
- Individual RAUM · $7.9M to $7.3MMar 23, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $6.5M to $8.6MMar 23, 2022 to Mar 15, 2023
- Pension RAUM · $456,872 to $614,371Mar 23, 2022 to Mar 15, 2023
- RAUM · $35.7M to $51.0MMar 23, 2022 to Mar 15, 2023
- Accounts · 199 to 215Mar 16, 2021 to Mar 23, 2022
Signals
1 dated events
- ••• LockedOct 26, 2018 · 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 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
- $46.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026