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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SEC-registered adviser
C•••••• S•••• A••••••••• L••
Legal name C•••• S•••• I••••••••• I•••
Latest filing May 7, 2026
First filing on the tape Dec 17, 2012 · 56 filings
SEC status approved since Jan 3, 2013
RAUM
$443M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$435M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$443M as of May 7, 2026
Jan 31, 2014$156M then
HNW client RAUM$349M as of May 7, 2026
Mar 6, 2018$202M then
State-registered IARs (5.B.3)3 as of May 7, 2026
Jan 31, 20142 then
Employees (5.A)4 as of May 7, 2026
Jan 31, 20144 then
Private funds: no history
RAUM +8.3% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 7, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $518,710derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $118M, 31 clientsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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 cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$349M80%
- Individuals$86.7M20%
- Individual clients
- 264reported
- HNW clients
- 167reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 855reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 31 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A•• S••••Certified Financial Planner | Pittsford, Ny | Jan 9, 2013 | 28 y | 1 |
| A•••••• J••••• F••••••• | Pittsford, Ny | Feb 14, 2021 | 24 y | 1 |
| N•••• B••• K•• | Pittsford, Ny | Feb 14, 2021 | 25 y | 1 |
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
- A•••••• J••••• F••••••• from W••• S••••• F•••••••• G••••• I••Feb 14, 2021 · Other
- N•••• B••• K•• from W••• S••••• F•••••••• G••••• I••Feb 14, 2021 · Other
- C•••••• A•• S•••• from W••• S••••• F•••••••• G••••• I••Jan 9, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• M•••••• C•••••• · Chief Financial Officercontrolsince 04/2013 · owns less than 5%
- F•••••••• A••••••• J••••• · Chief Investment Officercontrolsince 08/2014 · owns less than 5%
- K••• N••••• B••• · Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- S••••• C••••••• A•• · Presidentcontrolsince 12/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing May 7, 2026RAUM per registered advisor of $147,832,280 against a peer median of $55,746,441 (3254 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 929 to 855Jan 7, 2026 to Mar 26, 2026
- HNW clients · 177 to 167Jan 7, 2026 to Mar 26, 2026
- Individual clients · 267 to 264Jan 7, 2026 to Mar 26, 2026
- Assets in custody · $99.5M to $118MJan 7, 2026 to Mar 26, 2026
- Financial planning clients · 51-100 to 26-50Jan 7, 2026 to Mar 26, 2026
- Discretionary RAUM · $401M to $434MJan 7, 2026 to Mar 26, 2026
- HNW RAUM · $317M to $349MJan 7, 2026 to Mar 26, 2026
- Individual RAUM · $85.6M to $86.7MJan 7, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $8.1M to $9.6MJan 7, 2026 to Mar 26, 2026
- RAUM · $410M to $443MJan 7, 2026 to Mar 26, 2026
- Accounts · 926 to 929May 17, 2024 to Mar 18, 2025
- HNW clients · 170 to 177May 17, 2024 to Mar 18, 2025
- Individual clients · 266 to 267May 17, 2024 to Mar 18, 2025
- Assets in custody · $86.5M to $99.5MMay 17, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 51-100May 17, 2024 to Mar 18, 2025
- Discretionary RAUM · $360M to $401MMay 17, 2024 to Mar 18, 2025
- HNW RAUM · $277M to $317MMay 17, 2024 to Mar 18, 2025
- Individual RAUM · $84.5M to $85.6MMay 17, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $7.0M to $8.1MMay 17, 2024 to Mar 18, 2025
- RAUM · $367M to $410MMay 17, 2024 to Mar 18, 2025
- Assets in custody · unset to 86515321.0Mar 28, 2024 to May 17, 2024
- Custody of client assets · false to trueMar 28, 2024 to May 17, 2024
- Accounts · 964 to 926Oct 17, 2023 to Mar 28, 2024
- HNW clients · 190 to 170Oct 17, 2023 to Mar 28, 2024
- Individual clients · 288 to 266Oct 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $319M to $360MOct 17, 2023 to Mar 28, 2024
- HNW RAUM · $246M to $277MOct 17, 2023 to Mar 28, 2024
- Individual RAUM · $74.3M to $84.5MOct 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $5.8M to $7.0MOct 17, 2023 to Mar 28, 2024
- RAUM · $325M to $367MOct 17, 2023 to Mar 28, 2024
- Accounts · 965 to 964Oct 19, 2022 to Mar 21, 2023
- HNW clients · 186 to 190Oct 19, 2022 to Mar 21, 2023
- Individual clients · 276 to 288Oct 19, 2022 to Mar 21, 2023
- Discretionary RAUM · $382M to $319MOct 19, 2022 to Mar 21, 2023
- HNW RAUM · $294M to $246MOct 19, 2022 to Mar 21, 2023
- Individual RAUM · $89.6M to $74.3MOct 19, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $6.6M to $5.8MOct 19, 2022 to Mar 21, 2023
- RAUM · $388M to $325MOct 19, 2022 to Mar 21, 2023
- Accounts · 977 to 965Feb 3, 2022 to Mar 22, 2022
- HNW clients · 189 to 186Feb 3, 2022 to Mar 22, 2022
Signals
1 dated events
- C•••• S•••• I••••••••• I••• filed its initial SEC registration (Form ADV)Dec 17, 2012 · 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
- d••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-249-1550reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-249-1554reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 585-329-2408reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••S••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-249-1550reportedpublic record, Form ADV, May 7, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026