DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••••• C••••••••• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape Aug 7, 2015 · 28 filings
SEC status approved since Aug 19, 2015
RAUM
$416M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$408M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$416M as of Mar 23, 2026
Mar 29, 2016$207M then
HNW client RAUM$329M as of Mar 23, 2026
Feb 14, 2018$198M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 29, 20160 then
Employees (5.A)6 as of Mar 23, 2026
Mar 29, 20166 then
Private funds: no history
RAUM -5.8% over the last fiscal year+3.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $510,242derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $142M, 141 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$329M79%
- Individuals$78.8M19%
- Charitable organizations$5.0M1.2%
- Pension and profit-sharing plans$2.3M0.5%
- Corporations and businesses$1.1M0.3%
- Individual clients
- 213reported
- HNW clients
- 124reported
- Pension plan clients
- 2reported
- Charitable clients
- 9reported
- Accounts
- 815reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $142M for 141 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• R•••••• D•••••Certified Financial Planner | Amherst, Ny | Jan 25, 2017 | 32 y | 1 |
| K•••••••• A•• C••••••••• | Amherst, Ny | Jun 22, 2021 | 36 y | 2 |
| M•••••• B•••• J••••••Chartered Financial Analyst | Amherst, Ny | Jul 29, 2022 | 12 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
none on the tape
Joined, latest
- K•••••••• A•• C••••••••• from W•••• F•••• A•••••••Jun 22, 2021 · Wirehouse to independent RIA
- W•••••• R•••••• D••••• from W•••• F•••• A•••••••Jan 25, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Nov 9, 2015 · Amherst, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• K••••••••• A•• · Chief Compliance Officer And Managing Membercontrolsince 10/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Amherst, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 766 to 815Nov 18, 2025 to Mar 23, 2026
- Charity clients · 10 to 9Nov 18, 2025 to Mar 23, 2026
- HNW clients · 122 to 124Nov 18, 2025 to Mar 23, 2026
- Individual clients · 220 to 213Nov 18, 2025 to Mar 23, 2026
- Assets in custody · $83.1M to $142MNov 18, 2025 to Mar 23, 2026
- Discretionary RAUM · $442M to $416MNov 18, 2025 to Mar 23, 2026
- HNW RAUM · $342M to $329MNov 18, 2025 to Mar 23, 2026
- Individual RAUM · $89.1M to $78.8MNov 18, 2025 to Mar 23, 2026
- Pension RAUM · $2.3M to $2.3MNov 18, 2025 to Mar 23, 2026
- RAUM · $442M to $416MNov 18, 2025 to Mar 23, 2026
- Accounts · 787 to 766Mar 26, 2025 to Nov 18, 2025
- HNW clients · 125 to 122Mar 26, 2025 to Nov 18, 2025
- Individual clients · 228 to 220Mar 26, 2025 to Nov 18, 2025
- Discretionary RAUM · $442M to $442MMar 26, 2025 to Nov 18, 2025
- HNW RAUM · $341M to $342MMar 26, 2025 to Nov 18, 2025
- Individual RAUM · $89.4M to $89.1MMar 26, 2025 to Nov 18, 2025
- Pension RAUM · $2.2M to $2.3MMar 26, 2025 to Nov 18, 2025
- RAUM · $442M to $442MMar 26, 2025 to Nov 18, 2025
- Wrap assets (manager) · 0.0 to unsetMar 26, 2025 to Nov 18, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 26, 2025 to Nov 18, 2025
- Accounts · 710 to 787Feb 25, 2025 to Mar 26, 2025
- Charity clients · 8 to 10Feb 25, 2025 to Mar 26, 2025
- HNW clients · 75 to 125Feb 25, 2025 to Mar 26, 2025
- Individual clients · 301 to 228Feb 25, 2025 to Mar 26, 2025
- Assets in custody · $71.7M to $83.1MFeb 25, 2025 to Mar 26, 2025
- Financial planning clients · 1-10 to 11-25Feb 25, 2025 to Mar 26, 2025
- State-registered IARs · 1 to 2Feb 25, 2025 to Mar 26, 2025
- Discretionary RAUM · $421M to $442MFeb 25, 2025 to Mar 26, 2025
- HNW RAUM · $259M to $341MFeb 25, 2025 to Mar 26, 2025
- Individual RAUM · $146M to $89.4MFeb 25, 2025 to Mar 26, 2025
- Pension RAUM · $2.0M to $2.2MFeb 25, 2025 to Mar 26, 2025
- RAUM · $421M to $442MFeb 25, 2025 to Mar 26, 2025
- Accounts · 736 to 710Feb 22, 2024 to Mar 21, 2024
- HNW clients · 80 to 75Feb 22, 2024 to Mar 21, 2024
- Individual clients · 354 to 301Feb 22, 2024 to Mar 21, 2024
- Assets in custody · $72.2M to $71.7MFeb 22, 2024 to Mar 21, 2024
- Employees · 5 to 6Feb 22, 2024 to Mar 21, 2024
- Discretionary RAUM · $378M to $421MFeb 22, 2024 to Mar 21, 2024
- HNW RAUM · $227M to $259MFeb 22, 2024 to Mar 21, 2024
- Individual RAUM · $137M to $146MFeb 22, 2024 to Mar 21, 2024
Signals
3 dated events
- M••••••• C••••••••• G••••• L•• reported RAUM $378.1M, down 26% from $509.8M (2022-06-21 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Z••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 2, 2015 · Succession (Item 4) · fact
- Z••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 2015 · 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
- m•••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-247-5298reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-854-5400reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-668-3900reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••••-C•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (716) 854-5400reportedpublic record, Form ADV, Mar 23, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026