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
B•••••• F•••• W••••• M••••••••• L••
Latest filing Jan 26, 2026
First filing on the tape Nov 24, 2020 · 20 filings
SEC status approved since Dec 24, 2020
RAUM
$91.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$79.8M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$22.9M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$91.7M as of Jan 26, 2026
Feb 8, 2021$45.2M then
HNW client RAUM$26.7M as of Jan 26, 2026
Feb 8, 2021$6.6M then
State-registered IARs (5.B.3)4 as of Jan 26, 2026
Feb 8, 20213 then
Employees (5.A)4 as of Jan 26, 2026
Feb 8, 20213 then
Private funds: no history
RAUM +20% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $22.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $127,062derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%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 consulting, publications, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$53.1M58%
- High-net-worth individuals$26.7M29%
- Pension and profit-sharing plans$11.5M12%
- Insurance companies$458,1040.5%
- Individual clients
- 427reported
- HNW clients
- 18reported
- Pension plan clients
- 135reported
- Charitable clients
- 0reported
- Accounts
- 722reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• R• C••••••• | Williamsville, Ny | Sep 23, 2022 | 18 y | 2 |
| A•••• C••••••• D•••••• | Williamsville, Ny | Sep 27, 2022 | 19 y | 2 |
| J•••••• C• J••••• | Williamsville, Ny | Dec 16, 2022 | 12 y | 0 |
| J•••••• A• H•••••• | Williamsville, Ny | Mar 2, 2023 | 24 y | 0 |
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
- T••••• F••••••• A•••• to A•••• W••••• M••••••••• L••Nov 30, 2021 · RIA to a state-registered adviser
Joined, latest
- A•••• C••••••• D•••••• from W•••••• • R•••Jun 6, 2021 · Other
- K•••• R• C••••••• from W•••••• • R•••Jun 6, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• K••••• R•• · Chief Executive Officer; Chief Compliance Officer; Managing Membercontrolsince 08/2013 · owns 50% to 75%
- D••••••• A••••• C••••••• · Chief Operation Officer, Managing Partnercontrolsince 08/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 4 | 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
- account count surgeChange between filings · filing Jan 26, 2026accounts (Item 5.F.2.f) moved from 448.0 to 722.0 (+61.0%) between the annual amendments of 2025-03-05 and 2026-01-26; the peer median change was +2.0% (136 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, under $100M (136) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 448 to 722Mar 5, 2025 to Jan 26, 2026
- Pension plan clients · 9 to 135Mar 5, 2025 to Jan 26, 2026
- Discretionary RAUM · $76.7M to $91.7MMar 5, 2025 to Jan 26, 2026
- HNW RAUM · $21.0M to $26.7MMar 5, 2025 to Jan 26, 2026
- Individual RAUM · $45.6M to $53.1MMar 5, 2025 to Jan 26, 2026
- Pension RAUM · $9.9M to $11.5MMar 5, 2025 to Jan 26, 2026
- RAUM · $76.7M to $91.7MMar 5, 2025 to Jan 26, 2026
- Financial planning clients · 1-10 to 1-10Jan 15, 2025 to Mar 5, 2025
- Related insurance company · true to falseJan 15, 2025 to Mar 5, 2025
- Accounts · 402 to 448Jan 4, 2024 to Jan 15, 2025
- HNW clients · 14 to 18Jan 4, 2024 to Jan 15, 2025
- Individual clients · 371 to 427Jan 4, 2024 to Jan 15, 2025
- Pension plan clients · 7 to 9Jan 4, 2024 to Jan 15, 2025
- Financial planning clients · 11-25 to 1-10Jan 4, 2024 to Jan 15, 2025
- Discretionary RAUM · $44.2M to $76.7MJan 4, 2024 to Jan 15, 2025
- HNW RAUM · $15.0M to $21.0MJan 4, 2024 to Jan 15, 2025
- Individual RAUM · $29.3M to $45.6MJan 4, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $7.8M to $0Jan 4, 2024 to Jan 15, 2025
- Pension RAUM · $7.6M to $9.9MJan 4, 2024 to Jan 15, 2025
- RAUM · $52.1M to $76.7MJan 4, 2024 to Jan 15, 2025
- Accounts · 414 to 402Jun 29, 2023 to Jan 4, 2024
- Advisory employees · 3 to 4Jun 29, 2023 to Jan 4, 2024
- HNW clients · 13 to 14Jun 29, 2023 to Jan 4, 2024
- Individual clients · 396 to 371Jun 29, 2023 to Jan 4, 2024
- Pension plan clients · 5 to 7Jun 29, 2023 to Jan 4, 2024
- Financial planning clients · 1-10 to 11-25Jun 29, 2023 to Jan 4, 2024
- State-registered IARs · 3 to 4Jun 29, 2023 to Jan 4, 2024
- Discretionary RAUM · $46.5M to $44.2MJun 29, 2023 to Jan 4, 2024
- HNW RAUM · $26.9M to $15.0MJun 29, 2023 to Jan 4, 2024
- Individual RAUM · $13.5M to $29.3MJun 29, 2023 to Jan 4, 2024
- Non-discretionary RAUM · $443,506 to $7.8MJun 29, 2023 to Jan 4, 2024
- Pension RAUM · $6.1M to $7.6MJun 29, 2023 to Jan 4, 2024
- RAUM · $47.0M to $52.1MJun 29, 2023 to Jan 4, 2024
- Accounts · 239 to 414Dec 5, 2022 to Jan 31, 2023
- HNW clients · 5 to 13Dec 5, 2022 to Jan 31, 2023
- Individual clients · 223 to 396Dec 5, 2022 to Jan 31, 2023
- Pension plan clients · 6 to 5Dec 5, 2022 to Jan 31, 2023
- Discretionary RAUM · $49.0M to $46.5MDec 5, 2022 to Jan 31, 2023
- HNW RAUM · $10.0M to $26.9MDec 5, 2022 to Jan 31, 2023
- Individual RAUM · $30.6M to $13.5MDec 5, 2022 to Jan 31, 2023
Signals
1 dated events
- Buffalo First Wealth Management, Llc filed its initial SEC registration (Form ADV)Nov 24, 2020 · 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
- info@buffalofirstllc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-202-9244reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-204-8369reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-256-2794reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/buffalo-first-wealth-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- BUFFALOFIRSTLLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-861-7371reportedpublic record, Form ADV, Jan 26, 2026
- Contact form
- buffalofirstllc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $22.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026