DFX Intelligence
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G•••••• C•••••• A•••••••• L••
Independent wealth manager, based in Auburn, New York, reporting $420M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $420M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +12%
- Private clients
- 96% of RAUM, $403M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 9
Every filed figure, and the identifiersCRD 167353 · SEC 801-77930 · 37 filingsShowHide
CRD 167353SEC 801-77930First filing on the tape Apr 3, 2013, latest Jun 1, 2026SEC status approved since Apr 16, 2013IAPD
RAUM
$420M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$403M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$210M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$420M as of Jun 1, 2026
Mar 12, 2014$109M then
HNW client RAUM$289M as of Jun 1, 2026
Feb 22, 2018$62.2M then
State-registered IARs (5.B.3)2 as of Jun 1, 2026
Mar 12, 20140 then
Employees (5.A)4 as of Jun 1, 2026
Mar 12, 20143 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 1, 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
- $210MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 272derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $274,552derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $5.0M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M69%
- Individuals$114M27%
- Charitable organizations$14.7M3.5%
- Corporations and businesses$2.6M0.6%
- Individual clients
- 426reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,531reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| M•••••• C••••••••• H•••• | Auburn, Ny | Dec 2, 2020 | 34 y | 1 |
| R••• W••••••• P••• | Auburn, Ny | Jun 6, 2021 | 20 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
- R••• W••••••• P••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 6, 2021 · Other
- M•••••• C••••••••• H•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 2, 2020 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• J••• M•••• · Founding Partner And Chief Compliance Officercontrolsince 05/2013 · owns 10% to 25%
- H••••• M••••••• C••••••••• · Founding Partner, Investment Officercontrolsince 05/2013 · owns 50% to 75%
- P•••• R•••• W••••••• · Founding Partner, Investment Officercontrolsince 05/2013 · 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 |
|---|---|---|---|---|---|
| Auburn, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,605 to 1,531Feb 11, 2025 to Feb 10, 2026
- Charity clients · 7 to 6Feb 11, 2025 to Feb 10, 2026
- Corporate clients · 6 to 7Feb 11, 2025 to Feb 10, 2026
- HNW clients · 96 to 118Feb 11, 2025 to Feb 10, 2026
- Individual clients · 440 to 426Feb 11, 2025 to Feb 10, 2026
- Assets in custody · $2.8M to $5.0MFeb 11, 2025 to Feb 10, 2026
- Discretionary RAUM · $370M to $415MFeb 11, 2025 to Feb 10, 2026
- HNW RAUM · $239M to $289MFeb 11, 2025 to Feb 10, 2026
- Individual RAUM · $119M to $114MFeb 11, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $5.1M to $5.2MFeb 11, 2025 to Feb 10, 2026
- RAUM · $375M to $420MFeb 11, 2025 to Feb 10, 2026
- Accounts · 1,484 to 1,605Sep 5, 2024 to Feb 11, 2025
- BD registered reps · 2 to 0Sep 5, 2024 to Feb 11, 2025
- Charity clients · 4 to 7Sep 5, 2024 to Feb 11, 2025
- HNW clients · 83 to 96Sep 5, 2024 to Feb 11, 2025
- Individual clients · 376 to 440Sep 5, 2024 to Feb 11, 2025
- Pension plan clients · 65.0 to unsetSep 5, 2024 to Feb 11, 2025
- Assets in custody · $649,193 to $2.8MSep 5, 2024 to Feb 11, 2025
- Financial planning clients · 26-50 to 11-25Sep 5, 2024 to Feb 11, 2025
- State-registered IARs · 0 to 2Sep 5, 2024 to Feb 11, 2025
- Discretionary RAUM · $323M to $370MSep 5, 2024 to Feb 11, 2025
- HNW RAUM · $185M to $239MSep 5, 2024 to Feb 11, 2025
- Individual RAUM · $117M to $119MSep 5, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $4.9M to $5.1MSep 5, 2024 to Feb 11, 2025
- Pension RAUM · 12945856.0 to unsetSep 5, 2024 to Feb 11, 2025
- RAUM · $327M to $375MSep 5, 2024 to Feb 11, 2025
- Accounts · 1,491 to 1,484Feb 8, 2023 to Feb 5, 2024
- Charity clients · 6 to 4Feb 8, 2023 to Feb 5, 2024
- Corporate clients · 7 to 6Feb 8, 2023 to Feb 5, 2024
- HNW clients · 75 to 83Feb 8, 2023 to Feb 5, 2024
- Individual clients · 373 to 376Feb 8, 2023 to Feb 5, 2024
- Pension plan clients · 8 to 65Feb 8, 2023 to Feb 5, 2024
- Assets in custody · $430,740 to $649,193Feb 8, 2023 to Feb 5, 2024
- Discretionary RAUM · $283M to $323MFeb 8, 2023 to Feb 5, 2024
- HNW RAUM · $165M to $185MFeb 8, 2023 to Feb 5, 2024
- Individual RAUM · $91.4M to $117MFeb 8, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $4.5M to $4.9MFeb 8, 2023 to Feb 5, 2024
- Pension RAUM · $15.2M to $12.9MFeb 8, 2023 to Feb 5, 2024
- RAUM · $287M to $327MFeb 8, 2023 to Feb 5, 2024
- Accounts · 1,312 to 1,491Mar 8, 2022 to Feb 8, 2023
Signals
1 dated events
- ••• LockedApr 3, 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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 1, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 1, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $210Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026