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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Former SEC-registered adviser

L•••• R•••• W••••• M•••••••••

Former SEC-registered adviserCRD 160107SEC 801-79367IAPD
Legal name A•••••• M•••••• A••••••
Latest filing Mar 4, 2019
First filing on the tape Mar 10, 2014 · 12 filings
RAUM
$27.8M
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
34%
$9.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$27.8M as of Mar 4, 2019
Mar 16, 2015$28.0M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 4, 2019
Mar 16, 20152 then
Employees (5.A)2 as of Mar 4, 2019
Mar 16, 20152 then
Private funds: no history
RAUM -2.2% over the last fiscal year-3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2019; 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
$252,743derivedRAUM over accounts (5.F.2.f)
Discretionary
34%derivedof RAUM
Institutional
66%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.2%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$18.4M66%
  • Individuals$9.4M34%
Individual clients
60reported
HNW clients
0reported
Pension plan clients
15reported
Charitable clients
0reported
Accounts
110reported
Financial planning clients
1-10reported
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
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
      • A•••••• M••••••• A•••••• · Sole Proprietor/Chief Compliance Officercontrol
        since 12/2011 · owns 75% or more
      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 · 67 to 110
        Jan 10, 2019 to Mar 4, 2019
      • Charity clients · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • Corporate clients · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • HNW clients · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • Individual clients · 55 to 60
        Jan 10, 2019 to Mar 4, 2019
      • Pension plan clients · 12 to 15
        Jan 10, 2019 to Mar 4, 2019
      • Pooled vehicle clients · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • Discretionary RAUM · $10.4M to $9.4M
        Jan 10, 2019 to Mar 4, 2019
      • HNW RAUM · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • Individual RAUM · $11.8M to $9.4M
        Jan 10, 2019 to Mar 4, 2019
      • Non-discretionary RAUM · $18.0M to $18.4M
        Jan 10, 2019 to Mar 4, 2019
      • Pension RAUM · $16.6M to $18.4M
        Jan 10, 2019 to Mar 4, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Jan 10, 2019 to Mar 4, 2019
      • RAUM · $28.4M to $27.8M
        Jan 10, 2019 to Mar 4, 2019
      • HQ city · LEWISTON to unset
        Mar 21, 2018 to Jan 3, 2019
      • HQ state · NY to unset
        Mar 21, 2018 to Jan 3, 2019
      • Accounts · 135 to 67
        Mar 25, 2017 to Feb 5, 2018
      • Advisory activities · 3 to 4
        Mar 25, 2017 to Feb 5, 2018
      • Individual clients · unset to 55.0
        Mar 25, 2017 to Feb 5, 2018
      • Pension plan clients · unset to 12.0
        Mar 25, 2017 to Feb 5, 2018
      • HQ city · BUFFALO to LEWISTON
        Mar 25, 2017 to Feb 5, 2018
      • Other offices · unset to 0.0
        Mar 25, 2017 to Feb 5, 2018
      • Discretionary RAUM · $12.3M to $10.4M
        Mar 25, 2017 to Feb 5, 2018
      • Individual RAUM · unset to 11780092.0
        Mar 25, 2017 to Feb 5, 2018
      • Non-discretionary RAUM · $17.7M to $18.0M
        Mar 25, 2017 to Feb 5, 2018
      • Pension RAUM · unset to 16642260.0
        Mar 25, 2017 to Feb 5, 2018
      • RAUM · $30.0M to $28.4M
        Mar 25, 2017 to Feb 5, 2018
      • Accounts · 150 to 135
        Mar 24, 2016 to Mar 25, 2017
      • Discretionary RAUM · $12.7M to $12.3M
        Mar 24, 2016 to Mar 25, 2017
      • Non-discretionary RAUM · $18.2M to $17.7M
        Mar 24, 2016 to Mar 25, 2017
      • RAUM · $30.9M to $30.0M
        Mar 24, 2016 to Mar 25, 2017
      • Accounts · 75 to 150
        Oct 21, 2015 to Mar 24, 2016
      • BD registered reps · 1 to 0
        Oct 21, 2015 to Mar 24, 2016
      • State-registered IARs · 2 to 0
        Oct 21, 2015 to Mar 24, 2016
      • Discretionary RAUM · $11.4M to $12.7M
        Oct 21, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $18.2M to $18.2M
        Oct 21, 2015 to Mar 24, 2016
      • RAUM · $29.6M to $30.9M
        Oct 21, 2015 to Mar 24, 2016
      • Accounts · 70 to 75
        Mar 16, 2015 to Oct 21, 2015
      • HQ city · LEWISTON to BUFFALO
        Mar 16, 2015 to Oct 21, 2015
      • Discretionary RAUM · $10.0M to $11.4M
        Mar 16, 2015 to Oct 21, 2015
      Signals
      1 dated events
      • L•••• R•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
        Mar 10, 2014 · 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.
      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