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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N•••• G••••
Latest filing Sep 3, 2026
First filing on the tape Nov 28, 2011 · 70 filings
SEC status approved since Sep 22, 2011
RAUM
$1.7B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
80%
$1.4B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$53.7M
derived; firm RAUM over IAPD count
Employees
52
50 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$1.7B as of Feb 27, 2026
Jan 20, 2012$104M then
HNW client RAUM$547M as of Feb 27, 2026
Mar 26, 2018$60.2M then
State-registered IARs (5.B.3)32 as of Feb 27, 2026
Jan 20, 20120 then
Employees (5.A)52 as of Feb 27, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +22% over the last fiscal year+17% a year over threeIARs 32 to 32
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $308,319derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.6derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- $362MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$826M48%
- High-net-worth individuals$547M32%
- Pension and profit-sharing plans$344M20%
- Charitable organizations$1.3M0.1%
- State and municipal entities$118,4700.0%
- Individual clients
- 3,253reported
- HNW clients
- 260reported
- Pension plan clients
- 137reported
- Charitable clients
- 2reported
- Accounts
- 5,571reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $361M sponsored, $10.5M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd= related_bank= bd_reps=21.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• G••••• R•••••• | Rochester, Ny | May 20, 2013 | 27 y | 1 |
| J•••• W•••••• U•••• | Rochester, Ny | Nov 10, 2014 | 30 y | 2 |
| K••• E••• T••••Certified Financial Planner | Denver, Co | Jan 15, 2015 | 30 y | 4 |
| C•••••• G•••••• H•••••••• | Rochester, Ny | Feb 24, 2015 | 29 y | 1 |
| C•••••• M•• D•••Certified Financial Planner | Rochester, Ny | Oct 9, 2015 | 20 y | 0 |
| A••••• R••••• E•••••• | Rochester, Ny | May 2, 2016 | 18 y | 0 |
| A••• C• M•••••Certified Financial Planner | Rochester , Ny | Nov 14, 2018 | 18 y | 2 |
| B•••• T••• L••• | Rochester, Ny | Jan 8, 2019 | 32 y | 1 |
| M••••••• E•••••••• S••••••• | Rochester, Ny | Mar 14, 2019 | 14 y | 0 |
| T•••••• D•••••• G•••••• | Rochester, Ny | Sep 17, 2019 | 11 y | 0 |
| R••••• J••••• B••••••••• | Jupiter, Fl | Oct 24, 2019 | 37 y | 1 |
| P•••••• D••••• M••••• | Rochester, Ny | Dec 10, 2019 | 19 y | 1 |
| T••••• C••••••••• F•••••••• | Rochester, Ny | Jul 27, 2020 | 39 y | 3 |
| J••••• T••••• R••• | Rochester, Ny | Oct 26, 2020 | 30 y | 2 |
| A••••• L•••• G•••••• | Port St Lucie, Fl | Oct 26, 2020 | 42 y | 2 |
| M••• P•••• G••••Certified Financial Planner | Topsfield, Ma | Nov 25, 2020 | 48 y | 1 |
| V•••••• J•••• P••••••• | Rochester, Ny | Dec 8, 2020 | 27 y | 2 |
| J•••••• B•••••• A•••••• | Rochester, Ny | Mar 29, 2021 | 42 y | 2 |
| G•••• J•••• U•••• | Topsfield, Ma | Aug 19, 2021 | 13 y | 0 |
| T••••• C•••• B•••• | Rochester, Ny | Oct 22, 2021 | 31 y | 0 |
| A•••••• L• S•••••••• | Rochester , Ny | Oct 22, 2021 | 17 y | 2 |
| T••••• J•••• G••••••••• | Rochester, Ny | Mar 3, 2022 | 14 y | 1 |
| R••••• J••• T••••• | Denver, Co | Apr 26, 2022 | 26 y | 4 |
| K•••• G•••• A••••••• | East Bridgewater, Nj | May 13, 2022 | 38 y | 6 |
| J••••• A•••• R••••••••• | Grand Island, Ne | Nov 29, 2022 | 11 y | 0 |
| C•••• J• M••••• | Rochester, Ny | Mar 21, 2023 | 10 y | 0 |
| D••••• R••••• W••••••• | Rochester, Ny | May 12, 2023 | 13 y | 0 |
| M•••••• R••• S•••••••• | Jupiter, Fl | Sep 10, 2024 | 11 y | 0 |
| J••••• G••••• M••••••••Certified Financial Planner, Chartered Financial Consultant | Depew, Ny | Sep 17, 2024 | 41 y | 1 |
| C•••••••• E•••••••• G••••Certified Financial Planner | Rochester, Ny | Sep 26, 2024 | 27 y | 1 |
| P•••• M•••• R•••••Certified Financial Planner | Rochester, Ny | Oct 11, 2024 | 19 y | 2 |
| K•••••••• K•••• | Rochester, Ny | Mar 5, 2025 | 10 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
- D••••• S•••••• D•••••• to O•••• W•••••• I•••Oct 4, 2024 · RIA to affiliated broker-dealer or bank
- T•••• W••••••• to R•• A•••••••• L••May 31, 2024 · RIA to RIA
- C••• R••• A•••• to O•••• W•••••• I•••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- A••• J••• Q•••• to P•••••• A•••••• G••••• L••Nov 1, 2023 · RIA to affiliated broker-dealer or bank
- S•••••• T••••• M••••••• to A••••• A••••••• L••Jan 2, 2023 · RIA to RIA
- R••••• C• H•••• to B••••• F•••••• W••••• M••••••••• L••Sep 14, 2022 · RIA to RIA
- C•••••• E••••• R••• to C••••••••• C•••••• A•••••••• L••Jul 21, 2022 · RIA to RIA
- T••••• K• L•••• to H•••••• I••••••••• L••Jun 22, 2022 · Other
- A•••••• M•••• H•••• to A•••• C•••••• G••••• L••Apr 19, 2021 · RIA to RIA
- A••••• A•••••• C••••••• to L•• F•••••••• L••Jul 2, 2019 · RIA to RIA
- S•••• T•••• W••••••• to A•••• C•••••• G••••• L••Jan 4, 2019 · RIA to RIA
- J••• W•••••• P•••• to P••••• A••••••• L••Jan 4, 2019 · RIA to a state-registered adviser
- C••••• J••• K•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 4, 2018 · RIA to wirehouse
- A•••••••• M••••••• G••••••• to T• A••••••••• I•••Jul 27, 2018 · Other
- T••••• K• Q•••• to M•• I•••••••• S•••••••• L••Apr 27, 2017 · Other
Joined, latest
- P•••• M•••• R••••• from A••••••• P••••••••• A•••••••• I••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• E•••••••• G•••• from R•• C•••••• M••••••• L••Sep 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• G••••• M•••••••• from A••••••• P••••••••• A•••••••• I••Sep 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••• W••••••• from B••••••••• A•••• M••••••••• L••Aug 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••• G•••• A••••••• from L•• F•••••••• L••May 13, 2022 · RIA to RIA
- R••••• J••• T••••• from A••••••• P••••••••• A•••••••• I••Apr 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••• J•••• G••••••••• from A••••••• P••••••••• A•••••••• I••Mar 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- C••• R••• A•••• from P•••• S••••••••• L••Nov 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••••• L• S•••••••• from A••••••• P••••••••• A•••••••• I••Oct 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••••• B•••••• A•••••• from R•• C•••••• M••••••• L••Mar 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- V•••••• J•••• P••••••• from A••••••• P••••••••• A•••••••• I••Dec 8, 2020 · RIA to RIA
- M••• P•••• G•••• from A••••••• P••••••••• A•••••••• I••Nov 25, 2020 · RIA to RIA
- J••••• T••••• R••• from H•••••• T••••••• • K•••• L••Oct 26, 2020 · Other
- A••••• L•••• G•••••• from T•• A•••••••• I•••Oct 26, 2020 · Affiliated broker-dealer or bank to independent RIA
- A••• J••• Q•••• from A••••••• P••••••••• A•••••••• I••Jul 28, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 9 joined from A••••••• P••••••••• A•••••••• I••Oct 11, 2024 · Holbrook, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• R•••••• J••••• · Ceo, Ccocontrolsince 06/2011 · owns 75% or more
- E••••••• A•••••• R••••• · Ccosince 01/2017 · owns less than 5%
- M•••••• P••••••• D••••• · Presidentsince 01/2017 · 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 |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 32 | 0 | 0 | ||
| Topsfield, Ma | 4 | 0 | 0 | ||
| Grand Island, Ne | 3 | 0 | 0 | ||
| Denver, Co | 2 | 0 | 0 | ||
| Jupiter, Fl | 2 | 0 | 0 | ||
| Pittsford, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Grand Island, NE5 employees
- Jupiter, FL4 employees
- Topsfield, MA4 employees
- Pittsford, NY3 employees
- Denver, CO2 employees
- Spring Lakes Height, NJ1 employees
- East Bridgewater, NJ1 employees
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Feb 27, 2026 to Sep 3, 2026
- Related adviser · false to unsetFeb 27, 2026 to Sep 3, 2026
- Related bank · false to unsetFeb 27, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetFeb 27, 2026 to Sep 3, 2026
- Related insurance company · false to unsetFeb 27, 2026 to Sep 3, 2026
- Succession · false to unsetFeb 27, 2026 to Sep 3, 2026
- Accounts · 5,074 to 5,571Nov 11, 2025 to Feb 27, 2026
- HNW clients · 189 to 260Nov 11, 2025 to Feb 27, 2026
- Individual clients · 3,097 to 3,253Nov 11, 2025 to Feb 27, 2026
- Pension plan clients · 110 to 137Nov 11, 2025 to Feb 27, 2026
- Discretionary RAUM · $1.2B to $1.5BNov 11, 2025 to Feb 27, 2026
- HNW RAUM · $403M to $547MNov 11, 2025 to Feb 27, 2026
- Individual RAUM · $704M to $826MNov 11, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $245M to $263MNov 11, 2025 to Feb 27, 2026
- Pension RAUM · $305M to $344MNov 11, 2025 to Feb 27, 2026
- RAUM · $1.4B to $1.7BNov 11, 2025 to Feb 27, 2026
- Wrap assets (manager) · $59.1M to $10.5MNov 11, 2025 to Feb 27, 2026
- Wrap assets (sponsor) · $312M to $361MNov 11, 2025 to Feb 27, 2026
- Financial planning clients · More than 500 to More than 500Mar 24, 2025 to Jul 29, 2025
- Accounts · 4,381 to 5,074Dec 4, 2024 to Mar 24, 2025
- BD registered reps · 46 to 21Dec 4, 2024 to Mar 24, 2025
- HNW clients · 147 to 189Dec 4, 2024 to Mar 24, 2025
- Individual clients · 2,756 to 3,097Dec 4, 2024 to Mar 24, 2025
- Pension plan clients · 127 to 110Dec 4, 2024 to Mar 24, 2025
- Employees · 50 to 52Dec 4, 2024 to Mar 24, 2025
- Insurance-licensed employees · 8 to 10Dec 4, 2024 to Mar 24, 2025
- State-registered IARs · 29 to 32Dec 4, 2024 to Mar 24, 2025
- Other offices · 7 to 8Dec 4, 2024 to Mar 24, 2025
- Discretionary RAUM · $916M to $1.2BDec 4, 2024 to Mar 24, 2025
- HNW RAUM · $318M to $403MDec 4, 2024 to Mar 24, 2025
- Individual RAUM · $570M to $704MDec 4, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $255M to $245MDec 4, 2024 to Mar 24, 2025
- Pension RAUM · $280M to $305MDec 4, 2024 to Mar 24, 2025
- RAUM · $1.2B to $1.4BDec 4, 2024 to Mar 24, 2025
- Wrap assets (manager) · $90.6M to $59.1MDec 4, 2024 to Mar 24, 2025
- Wrap assets (sponsor) · $298M to $312MDec 4, 2024 to Mar 24, 2025
- Accounts · 4,203 to 4,381Sep 21, 2023 to Mar 1, 2024
- Advisory employees · 57 to 50Sep 21, 2023 to Mar 1, 2024
- BD registered reps · 29 to 46Sep 21, 2023 to Mar 1, 2024
- Charity clients · 3 to 2Sep 21, 2023 to Mar 1, 2024
Signals
10 dated events
- 9 advisors left A••••••• P••••••••• A•••••••• I•• (Holbrook, NY) for N•••• G•••• on the same dayOct 11, 2024 · Team lift-out · derived
- D••••• S•••••• D•••••• left N•••• G•••• for O•••• W•••••• I••• (registered 2024-10-11)Oct 4, 2024 · a•••••• firm change · fact
- T•••• W••••••• left N•••• G•••• for R•• A•••••••• L•• (registered 2024-06-04)May 31, 2024 · a•••••• firm change · fact
- C••• R••• A•••• left N•••• G•••• for O•••• W•••••• I••• (registered 2025-08-25)Jan 2, 2024 · a•••••• firm change · fact
- A••• J••• Q•••• left N•••• G•••• for P•••••• A•••••• G••••• L•• (registered 2023-11-07)Nov 1, 2023 · a•••••• firm change · fact
- S•••••• T••••• M••••••• left N•••• G•••• for A••••• A••••••• L•• (registered 2023-02-07)Jan 2, 2023 · a•••••• firm change · fact
- R••••• C• H•••• left N•••• G•••• for B••••• F•••••• W••••• M••••••••• L•• (registered 2022-08-13)Sep 14, 2022 · a•••••• firm change · fact
- C•••••• E••••• R••• left N•••• G•••• for C••••••••• C•••••• A•••••••• L•• (registered 2022-08-05)Jul 21, 2022 · a•••••• firm change · fact
- T••••• K• L•••• left N•••• G•••• for H•••••• I••••••••• L•• (registered 2022-06-06)Jun 22, 2022 · a•••••• firm change · fact
- N•••• G•••• reported RAUM $1.1B, up 37% from $832.4M (2021-06-02 to 2022-03-08)Mar 8, 2022 · 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@novemgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-348-9513reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-348-9525reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-348-9531reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-348-9525reportedpublic record, Form ADV, Sep 3, 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
- $53.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026