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.

Former SEC-registered adviser

P•••• C•••••• B••• A••••••• G••••

Former SEC-registered adviserBuffalo, New YorkCRD 159184SEC 801-72839IAPD
Legal name P•••• C•••••• A••••••• P•••••••• L••
Latest filing Jun 17, 2021
First filing on the tape Feb 22, 2012 · 32 filings
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$260M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$262M as of Mar 26, 2021
Mar 29, 2012$104M then
HNW client RAUM$134M as of Mar 26, 2021
Mar 29, 2018$99.4M then
State-registered IARs (5.B.3)1 as of Mar 26, 2021
Mar 29, 20120 then
Employees (5.A)5 as of Mar 26, 2021
Mar 23, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+6.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 17, 2021; every figure names its basis
RAUM per advisor
$262MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
313derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$339,098derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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
  • 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 securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$134M51%
  • Individuals$126M48%
  • Corporations and businesses$1.2M0.5%
  • Charitable organizations$1.2M0.4%
Individual clients
278reported
HNW clients
35reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
773reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• M••••••• C•••••• · Managing Member / Chief Operating Officercontrol
      since 09/2011 · owns 50% to 75%
    • P••••• M••••••• J••••• · Managing Member / Chief Compliance Officercontrol
      since 09/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 787 to 773
      Jun 30, 2020 to Mar 26, 2021
    • HNW clients · 28 to 35
      Jun 30, 2020 to Mar 26, 2021
    • Individual clients · 277 to 278
      Jun 30, 2020 to Mar 26, 2021
    • Pooled vehicle clients · 4.0 to unset
      Jun 30, 2020 to Mar 26, 2021
    • Assets in custody · unset to 9736200.0
      Jun 30, 2020 to Mar 26, 2021
    • Discretionary RAUM · $232M to $262M
      Jun 30, 2020 to Mar 26, 2021
    • HNW RAUM · $110M to $134M
      Jun 30, 2020 to Mar 26, 2021
    • Individual RAUM · $120M to $126M
      Jun 30, 2020 to Mar 26, 2021
    • Non-discretionary RAUM · $1.9M to $0
      Jun 30, 2020 to Mar 26, 2021
    • Pooled vehicle RAUM · 1916800.0 to unset
      Jun 30, 2020 to Mar 26, 2021
    • RAUM · $234M to $262M
      Jun 30, 2020 to Mar 26, 2021
    • Business name · P•••• C•••••• A••••••• P•••••••• L•• to P•••• C•••••• B••• A••••••• G••••
      Mar 11, 2020 to Jun 30, 2020
    • Accounts · 762 to 787
      Mar 28, 2019 to Mar 11, 2020
    • Individual clients · 241 to 277
      Mar 28, 2019 to Mar 11, 2020
    • Discretionary RAUM · $200M to $232M
      Mar 28, 2019 to Mar 11, 2020
    • HNW RAUM · $96.6M to $110M
      Mar 28, 2019 to Mar 11, 2020
    • Individual RAUM · $102M to $120M
      Mar 28, 2019 to Mar 11, 2020
    • Non-discretionary RAUM · $0 to $1.9M
      Mar 28, 2019 to Mar 11, 2020
    • Pooled vehicle RAUM · unset to 1916800.0
      Mar 28, 2019 to Mar 11, 2020
    • RAUM · $200M to $234M
      Mar 28, 2019 to Mar 11, 2020
    • Accounts · 757 to 766
      Oct 16, 2018 to Mar 25, 2019
    • Charity clients · 3 to 5
      Oct 16, 2018 to Mar 25, 2019
    • Corporate clients · 2 to 3
      Oct 16, 2018 to Mar 25, 2019
    • HNW clients · 26 to 28
      Oct 16, 2018 to Mar 25, 2019
    • Individual clients · 328 to 241
      Oct 16, 2018 to Mar 25, 2019
    • Pooled vehicle clients · 0 to 4
      Oct 16, 2018 to Mar 25, 2019
    • Financial planning clients · 26-50 to 11-25
      Oct 16, 2018 to Mar 25, 2019
    • Discretionary RAUM · $217M to $200M
      Oct 16, 2018 to Mar 25, 2019
    • HNW RAUM · $99.4M to $96.6M
      Oct 16, 2018 to Mar 25, 2019
    • Individual RAUM · $115M to $102M
      Oct 16, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $0 to $1.5M
      Oct 16, 2018 to Mar 25, 2019
    • Pooled vehicle RAUM · $0 to $1.5M
      Oct 16, 2018 to Mar 25, 2019
    • RAUM · $217M to $202M
      Oct 16, 2018 to Mar 25, 2019
    • Accounts · 766 to 762
      Mar 25, 2019 to Mar 25, 2019
    • Non-discretionary RAUM · $1.5M to $0
      Mar 25, 2019 to Mar 25, 2019
    • Pooled vehicle RAUM · 1518576.0 to unset
      Mar 25, 2019 to Mar 25, 2019
    • RAUM · $202M to $200M
      Mar 25, 2019 to Mar 25, 2019
    • Accounts · 675 to 757
      Mar 22, 2017 to Mar 29, 2018
    • Advisory employees · 3 to 4
      Mar 22, 2017 to Mar 29, 2018
    • Advisory activities · 4 to 3
      Mar 22, 2017 to Mar 29, 2018
    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