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Former SEC-registered adviser

M••••• F•••••••• M••••••••• C••••

Former SEC-registered adviserRochester, New YorkCRD 166061SEC 801-77370IAPD
Latest filing Dec 14, 2021
First filing on the tape Nov 8, 2012 · 21 filings
RAUM
$278M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$261M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$278M as of Mar 29, 2021
Mar 15, 2013$89.2M then
HNW client RAUM$92.5M as of Mar 29, 2021
Mar 20, 2018$101M then
State-registered IARs (5.B.3)1 as of Mar 29, 2021
Mar 15, 20131 then
Employees (5.A)11 as of Mar 29, 2021
Mar 15, 20136 then
Private funds: no history
RAUM +9.8% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 14, 2021; every figure names its basis
RAUM per advisor
$278MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
272derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$377,141derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.3%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 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
  • Individuals$168M61%
  • High-net-worth individuals$92.5M33%
  • Pension and profit-sharing plans$16.8M6.0%
Individual clients
218reported
HNW clients
54reported
Pension plan clients
6reported
Charitable clients
0reported
Accounts
736reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    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
      • M•••••• D••••• B•••• · Presidentcontrol
        since 12/2012 · owns less than 5%
      • S•••••••• B••••••• L••••••• · Executive Vice President, Chief Compliance Officercontrol
        since 11/2020 · owns less than 5%
      Entity owners
      • M••••• G••••• A••••••• I••• · Parent Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • B•••••• L• S•••••••
        n
      • D•••• B• M••••• C••••••• C•••• C••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 674 to 736
        Jan 6, 2021 to Mar 29, 2021
      • HNW clients · 65 to 54
        Jan 6, 2021 to Mar 29, 2021
      • Individual clients · 235 to 218
        Jan 6, 2021 to Mar 29, 2021
      • Pension plan clients · 7 to 6
        Jan 6, 2021 to Mar 29, 2021
      • State-registered IARs · 2 to 1
        Jan 6, 2021 to Mar 29, 2021
      • Discretionary RAUM · $222M to $261M
        Jan 6, 2021 to Mar 29, 2021
      • HNW RAUM · $127M to $92.5M
        Jan 6, 2021 to Mar 29, 2021
      • Individual RAUM · $95.7M to $168M
        Jan 6, 2021 to Mar 29, 2021
      • Non-discretionary RAUM · $30.6M to $16.8M
        Jan 6, 2021 to Mar 29, 2021
      • Pension RAUM · $30.6M to $16.8M
        Jan 6, 2021 to Mar 29, 2021
      • RAUM · $253M to $278M
        Jan 6, 2021 to Mar 29, 2021
      • Advisory employees · 4 to 3
        Nov 18, 2020 to Jan 6, 2021
      • BD registered reps · 3 to 2
        Nov 18, 2020 to Jan 6, 2021
      • State-registered IARs · 1 to 2
        Nov 18, 2020 to Jan 6, 2021
      • Assets in custody · 16711355.0 to unset
        Mar 13, 2020 to Mar 16, 2020
      • Custody of client assets · true to false
        Mar 13, 2020 to Mar 16, 2020
      • Accounts · 638 to 674
        Mar 22, 2019 to Mar 13, 2020
      • Advisory employees · 5 to 4
        Mar 22, 2019 to Mar 13, 2020
      • HNW clients · 75 to 65
        Mar 22, 2019 to Mar 13, 2020
      • Individual clients · 189 to 235
        Mar 22, 2019 to Mar 13, 2020
      • Pension plan clients · 14 to 7
        Mar 22, 2019 to Mar 13, 2020
      • Assets in custody · unset to 16711355.0
        Mar 22, 2019 to Mar 13, 2020
      • Custody of client assets · false to true
        Mar 22, 2019 to Mar 13, 2020
      • Discretionary RAUM · $179M to $222M
        Mar 22, 2019 to Mar 13, 2020
      • HNW RAUM · $126M to $127M
        Mar 22, 2019 to Mar 13, 2020
      • Individual RAUM · $52.6M to $95.7M
        Mar 22, 2019 to Mar 13, 2020
      • Non-discretionary RAUM · $54.2M to $30.6M
        Mar 22, 2019 to Mar 13, 2020
      • Pension RAUM · $54.2M to $30.6M
        Mar 22, 2019 to Mar 13, 2020
      • RAUM · $233M to $253M
        Mar 22, 2019 to Mar 13, 2020
      • Accounts · 444 to 638
        Mar 20, 2018 to Mar 22, 2019
      • Advisory employees · 7 to 5
        Mar 20, 2018 to Mar 22, 2019
      • Charity clients · unset to 0.0
        Mar 20, 2018 to Mar 22, 2019
      • Corporate clients · unset to 0.0
        Mar 20, 2018 to Mar 22, 2019
      • HNW clients · 63 to 75
        Mar 20, 2018 to Mar 22, 2019
      • Individual clients · 153 to 189
        Mar 20, 2018 to Mar 22, 2019
      • Pension plan clients · 8 to 14
        Mar 20, 2018 to Mar 22, 2019
      • Pooled vehicle clients · unset to 0.0
        Mar 20, 2018 to Mar 22, 2019
      • Employees · 9 to 11
        Mar 20, 2018 to Mar 22, 2019
      • Financial planning clients · 101-250 to 251-500
        Mar 20, 2018 to Mar 22, 2019
      • Discretionary RAUM · $147M to $179M
        Mar 20, 2018 to Mar 22, 2019
      Signals
      6 dated events
      • D•••• B•••• M••••• left M••••• F•••••••• M••••••••• C•••• for M••••• G••••• A••••••• I••• (registered 2022-02-10)
        Mar 25, 2022 · Advisor changed firm · fact
      • B•••••• L••••••• S••••••• left M••••• F•••••••• M••••••••• C•••• for M••••• G••••• A••••••• I••• (registered 2022-01-25)
        Mar 25, 2022 · Advisor changed firm · fact
      • J•••••••• M• D•••• left M••••• F•••••••• M••••••••• C•••• for M••••• G••••• A••••••• I••• (registered 2022-01-04)
        Mar 25, 2022 · Advisor changed firm · fact
      • M••••• F•••••••• M••••••••• C••••'s advisors moved to M••••• G••••• A••••••• I••• (Rochester, NY): 3 of 3 registered, on the same day
        Mar 25, 2022 · Firm absorbed (people side) · derived
      • A••••••••• W••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 3, 2012 · Succession (Item 4) · fact
      • A••••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
        Nov 8, 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.
      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