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
N••••••••• F•••••••• P•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 1, 2013 · 33 filings
SEC status approved since Mar 27, 2013
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.1M
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
33 filings and snapshots on the tape
RAUM$152M as of Mar 18, 2026
Mar 10, 2014$75.7M then
HNW client RAUM$109M as of Mar 18, 2026
Mar 23, 2018$137M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 10, 20140 then
Employees (5.A)2 as of Mar 18, 2026
Mar 10, 20147 then
Private funds: no history
RAUM +18% over the last fiscal year-8.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 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
- $76.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $884,924derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%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
- $5.0M, 23 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M72%
- Individuals$42.9M28%
- Individual clients
- 129reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 172reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• P• C••••Certified Financial Planner | Rochester, Ny | Aug 31, 2021 | 13 y | 3 |
| E••• M••• G•••••Certified Financial Planner, Chartered Financial Consultant | Rochester, Ny | Aug 31, 2021 | 28 y | 2 |
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
- H••••• R••••• B•••••• to C•••••• P••••••• I••••••••• G•••• L••Aug 14, 2023 · RIA to RIA
- A••••• L•••••• S•••••• to M•••••• • N••••• A•••••••• L••Oct 15, 2022 · RIA to RIA
- M••• B••••••• J•••• to R••• A•••••••• L••Oct 15, 2020 · RIA to RIA
- S•••••••• M••••• K••• to R••• A•••••••• L••Oct 15, 2020 · RIA to RIA
- Z•••••• M•••••• H••••••••• to R••• A•••••••• L••Oct 15, 2020 · RIA to RIA
- M•••••• R••• to M••••• A•••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- Z•••••• M•••••• H••••••••• from H••• F•••• A•••••••• I•••Dec 7, 2017 · Other
- B•••• P• C•••• from W••• S••••• F•••••••• G••••• I••Nov 21, 2016 · Other
- M••• B••••••• J•••• from W••• S••••• F•••••••• G••••• I••Nov 17, 2016 · Other
- M•••••• R••• from H••• F•••• A•••••••• I•••May 16, 2016 · Other
- H••••• R••••• B•••••• from W••• S••••• F•••••••• G••••• I••Jul 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R••• A•••••••• L••Oct 15, 2020 · Rochester, Ny · Firm absorbed
- 2 joined from W••• S••••• F•••••••• G••••• I••Sep 2, 2016 · Rochester, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••• P• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- C••••• B••••• P• · Presidentcontrolsince 01/2021 · owns 75% or more of B••• W••••• P•••••••• I•••
- G•••••• E•••• M••• · Presidentcontrolsince 01/2021 · owns 75% or more of G••••• W••••• M••••••••• I•••
Entity owners
- B••• W••••• P•••••••• I••• · Memberdirect · owns 25% to 50%
- G••••• W••••• M••••••••• I••• · Memberdirect · owns 25% to 50%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 18, 2026accounts (Item 5.F.2.f) moved from 418.0 to 172.0 (-59.0%) between the annual amendments of 2025-03-24 and 2026-03-18; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.2% percentile
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-23, yes on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Individual clients · 131 to 129Dec 23, 2025 to Mar 18, 2026
- Accounts · 418 to 172Dec 23, 2025 to Mar 18, 2026
- HNW clients · 36 to 43Dec 23, 2025 to Mar 18, 2026
- Assets in custody · unset to 5046335.0Dec 23, 2025 to Mar 18, 2026
- Custody of client assets · false to trueDec 23, 2025 to Mar 18, 2026
- Discretionary RAUM · $129M to $152MDec 23, 2025 to Mar 18, 2026
- HNW RAUM · $89.6M to $109MDec 23, 2025 to Mar 18, 2026
- Individual RAUM · $39.7M to $42.9MDec 23, 2025 to Mar 18, 2026
- RAUM · $129M to $152MDec 23, 2025 to Mar 18, 2026
- Financial planning clients · 101-250 to 101-250Mar 24, 2025 to Jul 16, 2025
- Accounts · 387 to 418Aug 19, 2024 to Mar 24, 2025
- BD registered reps · 2 to 0Aug 19, 2024 to Mar 24, 2025
- HNW clients · 33 to 36Aug 19, 2024 to Mar 24, 2025
- Individual clients · 127 to 131Aug 19, 2024 to Mar 24, 2025
- Employees · 3 to 2Aug 19, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 101-250Aug 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $113M to $129MAug 19, 2024 to Mar 24, 2025
- HNW RAUM · $76.4M to $89.6MAug 19, 2024 to Mar 24, 2025
- Individual RAUM · $36.9M to $39.7MAug 19, 2024 to Mar 24, 2025
- RAUM · $113M to $129MAug 19, 2024 to Mar 24, 2025
- Accounts · 720 to 387Oct 4, 2023 to Feb 29, 2024
- HNW clients · 69 to 33Oct 4, 2023 to Feb 29, 2024
- Individual clients · 207 to 127Oct 4, 2023 to Feb 29, 2024
- Employees · 4 to 3Oct 4, 2023 to Feb 29, 2024
- Discretionary RAUM · $196M to $113MOct 4, 2023 to Feb 29, 2024
- HNW RAUM · $141M to $76.4MOct 4, 2023 to Feb 29, 2024
- Individual RAUM · $57.2M to $36.9MOct 4, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $2.5M to $0Oct 4, 2023 to Feb 29, 2024
- RAUM · $198M to $113MOct 4, 2023 to Feb 29, 2024
- Advisory employees · 3 to 2Jun 21, 2023 to Aug 14, 2023
- Employees · 5 to 4Jun 21, 2023 to Aug 14, 2023
- State-registered IARs · 3 to 2Jun 21, 2023 to Aug 14, 2023
- BD registered reps · 3 to 2Mar 22, 2023 to Jun 21, 2023
- Accounts · 699 to 720Oct 26, 2022 to Mar 22, 2023
- Charity clients · unset to 0.0Oct 26, 2022 to Mar 22, 2023
- Corporate clients · unset to 0.0Oct 26, 2022 to Mar 22, 2023
- Individual clients · 204 to 207Oct 26, 2022 to Mar 22, 2023
- Pension plan clients · unset to 0.0Oct 26, 2022 to Mar 22, 2023
- Pooled vehicle clients · unset to 0.0Oct 26, 2022 to Mar 22, 2023
- Discretionary RAUM · $217M to $196MOct 26, 2022 to Mar 22, 2023
Signals
7 dated events
- H••••• R••••• B•••••• left N••••••••• F•••••••• P•••••••• L•• for C•••••• P••••••• I••••••••• G•••• L•• (registered 2023-06-06)Aug 14, 2023 · Advisor changed firm · fact
- H. Robert Bradley (President) no longer on Schedule A of N••••••••• F•••••••• P•••••••• L•• (listed 2023-06-21, absent 2023-08-14)Aug 14, 2023 · Control person left · inference
- A••••• L•••••• S•••••• left N••••••••• F•••••••• P•••••••• L•• for M•••••• • N••••• A•••••••• L•• (registered 2022-11-28)Oct 15, 2022 · Advisor changed firm · fact
- Marc Eric Garsin (Partner) appeared on Schedule A of N••••••••• F•••••••• P•••••••• L••Mar 18, 2021 · Control person joined · fact
- Gregory Scott Klatt (Partner) no longer on Schedule A of N••••••••• F•••••••• P•••••••• L•• (listed 2020-06-30, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Bradford Mark Jones (Managing Partner) no longer on Schedule A of N••••••••• F•••••••• P•••••••• L•• (listed 2020-06-30, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- N••••••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2013 · 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
- Website
- N•••••••••FP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (585) 497-5000reportedpublic record, Form ADV, Mar 18, 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
- $76.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026