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••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 20, 2014 · 24 filings
SEC status approved since May 27, 2014
RAUM
$437M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$364M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$87.4M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$437M as of Mar 30, 2026
Feb 4, 2015$54.1M then
HNW client RAUM$191M as of Mar 30, 2026
Mar 23, 2018$44.1M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Feb 4, 20153 then
Employees (5.A)11 as of Mar 30, 2026
Feb 4, 20155 then
Private funds: no history
RAUM +14% over the last fiscal year+30% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $87.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $369,371derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$191M44%
- Individuals$173M40%
- Pension and profit-sharing plans$72.5M17%
- Individual clients
- 465reported
- HNW clients
- 53reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 1,183reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C•••• G••••••••Certified Financial Planner | Buffalo, Ny | Mar 17, 2017 | 19 y | 0 |
| A••••• M•••• H•••Certified Financial Planner | Hamburg, Ny | Aug 2, 2018 | 18 y | 4 |
| T••••• H••••• W•••••Chartered Financial Consultant | Buffalo, Ny | Mar 1, 2021 | 28 y | 0 |
| C••••• T•••• K••••• | Buffalo, Ny | Aug 11, 2023 | 13 y | 0 |
| T••••• J••• C•••••Certified Financial Planner | Buffalo, Ny | Apr 16, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- M•••• A•••••• R••••••••• to C••• L••Dec 16, 2025 · RIA to affiliated broker-dealer or bank
- A••••• A••••••• D•••••• G••••••••• to S•••••••• W••••• M••••••••• L••Sep 13, 2022 · RIA to RIA
Joined, latest
- M•••• A•••••• R••••••••• from M••••••Mar 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- A••••• M•••• H••• from S••••••• I••••••••• C••••••• L••Aug 2, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S••••• C•••• · Principal/Ccocontrolsince 08/2014 · owns 25% to 50%
- W•••••• T•••••• H••••• · Principalcontrolsince 08/2014 · 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 |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,010 to 1,183Mar 25, 2025 to Mar 30, 2026
- Corporate clients · 14.0 to unsetMar 25, 2025 to Mar 30, 2026
- HNW clients · 48 to 53Mar 25, 2025 to Mar 30, 2026
- Individual clients · 426 to 465Mar 25, 2025 to Mar 30, 2026
- Employees · 9 to 11Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $382M to $437MMar 25, 2025 to Mar 30, 2026
- HNW RAUM · $158M to $191MMar 25, 2025 to Mar 30, 2026
- Individual RAUM · $143M to $173MMar 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $239,062 to $358,026Mar 25, 2025 to Mar 30, 2026
- RAUM · $382M to $437MMar 25, 2025 to Mar 30, 2026
- Accounts · 992 to 1,010Sep 25, 2024 to Mar 25, 2025
- Corporate clients · 12 to 14Sep 25, 2024 to Mar 25, 2025
- HNW clients · 43 to 48Sep 25, 2024 to Mar 25, 2025
- Individual clients · 377 to 426Sep 25, 2024 to Mar 25, 2025
- Employees · 8 to 9Sep 25, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Sep 25, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 5Sep 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $292M to $382MSep 25, 2024 to Mar 25, 2025
- HNW RAUM · $118M to $158MSep 25, 2024 to Mar 25, 2025
- Individual RAUM · $107M to $143MSep 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $103,739 to $239,062Sep 25, 2024 to Mar 25, 2025
- Pension RAUM · $61.0M to $72.5MSep 25, 2024 to Mar 25, 2025
- RAUM · $292M to $382MSep 25, 2024 to Mar 25, 2025
- Accounts · 921 to 992Mar 29, 2023 to Mar 24, 2024
- Corporate clients · unset to 12.0Mar 29, 2023 to Mar 24, 2024
- HNW clients · 42 to 43Mar 29, 2023 to Mar 24, 2024
- Individual clients · 353 to 377Mar 29, 2023 to Mar 24, 2024
- Pension plan clients · unset to 24.0Mar 29, 2023 to Mar 24, 2024
- Discretionary RAUM · $198M to $292MMar 29, 2023 to Mar 24, 2024
- HNW RAUM · $137M to $118MMar 29, 2023 to Mar 24, 2024
- Individual RAUM · $61.5M to $107MMar 29, 2023 to Mar 24, 2024
- Non-discretionary RAUM · $745,952 to $103,739Mar 29, 2023 to Mar 24, 2024
- Pension RAUM · unset to 60995263.0Mar 29, 2023 to Mar 24, 2024
- RAUM · $199M to $292MMar 29, 2023 to Mar 24, 2024
- Accounts · 828 to 921Mar 25, 2022 to Mar 29, 2023
- HNW clients · 58 to 42Mar 25, 2022 to Mar 29, 2023
- Individual clients · 327 to 353Mar 25, 2022 to Mar 29, 2023
- Assets in custody · 0.0 to unsetMar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $196M to $198MMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $141M to $137MMar 25, 2022 to Mar 29, 2023
Signals
4 dated events
- M•••• A•••••• R••••••••• left N••• A•••••••• L•• for C••• L•• (registered 2026-01-13)Dec 16, 2025 · Advisor changed firm · fact
- A••••• A••••••• D•••••• G••••••••• left N••• A•••••••• L•• for S•••••••• W••••• M••••••••• L•• (registered 2023-02-02)Sep 13, 2022 · Advisor changed firm · fact
- G•• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 13, 2014 · Succession (Item 4) · fact
- G•• C••••••• L•• filed its initial SEC registration (Form ADV)May 20, 2014 · 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 phone
- 716-256-1682reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/noteadvisorsllcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (716) 256-1682reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- noteadvisor.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- noteadvisor.com/teamreportedpublished 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
- $87.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026