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
F••••• C••• C•••••• L••
Latest filing Jul 20, 2026
First filing on the tape Jun 18, 2018 · 37 filings
SEC status approved since Jul 19, 2018
RAUM
$445M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$405M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$74.1M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$445M as of Jul 20, 2026
Mar 12, 2019$68.2M then
HNW client RAUM$355M as of Jul 20, 2026
Mar 12, 2019$56.7M then
State-registered IARs (5.B.3)6 as of Jul 20, 2026
Mar 12, 20192 then
Employees (5.A)9 as of Jul 20, 2026
Mar 12, 20194 then
Private funds1 as of Jul 20, 2026
Mar 11, 20251 then
RAUM +33% over the last fiscal year+34% a year over threeIARs 2 to 6offices 0 to 1
Practice profile
derived from the filing of Jul 20, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $464,566derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $12.6M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$355M80%
- Individuals$49.8M11%
- Pooled investment vehicles$39.4M8.9%
- Corporations and businesses$77,9700.0%
- Individual clients
- 113reported
- HNW clients
- 114reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 957reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.6M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.09 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• H••••• H••••Certified Financial Planner | Pittsford, Ny | Jul 22, 2021 | 20 y | 1 |
| M•••••• E•••••• R••••••Certified Financial Planner, Chartered Financial Analyst | Pittsford, Ny | Aug 9, 2021 | 17 y | 0 |
| J••••• V••••Certified Financial Planner | Frederick, Md | Jan 30, 2026 | 10 y | 5 |
| V•••••• J••••• C••••Chartered Financial Analyst | Pittsford, Ny | Feb 26, 2026 | 10 y | 0 |
| C•••••••• D•••• A•••••Certified Financial Planner | Pittsford, Ny | Mar 1, 2026 | 19 y | 3 |
| J•••• M••••••Certified Financial Planner | Pittsford, Ny | Mar 30, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- C•••••••• D•••• A••••• from W•••••• • C••••••Mar 1, 2026 · RIA to RIA
- J••••• V•••• from T•••••• P•••• F••••••••Jan 30, 2026 · RIA to RIA
- T••••• H••••• H•••• from C••••••••• W••••• A•••••••• L••Jul 22, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C•••• P•••••••• L• | Other Private Fund | $4.6M | 20 | May 15, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••• V••••••• J••••• · Coo And Chief Compliance Officercontrolsince 02/2021 · owns 5% to 10%
- H••••• T•••••• H••••• · Senior Partnercontrolsince 03/2018 · owns 25% to 50%
- R••••••• M••••••• E•••••• · Principalcontrolsince 08/2015 · 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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 6 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 6Mar 6, 2026 to Apr 2, 2026
- State-registered IARs · 3 to 6Mar 6, 2026 to Apr 2, 2026
- Accounts · 827 to 957Feb 2, 2026 to Mar 6, 2026
- Corporate clients · 0 to 2Feb 2, 2026 to Mar 6, 2026
- HNW clients · 99 to 114Feb 2, 2026 to Mar 6, 2026
- Individual clients · 93 to 113Feb 2, 2026 to Mar 6, 2026
- Assets in custody · $49.4M to $12.6MFeb 2, 2026 to Mar 6, 2026
- Discretionary RAUM · $311M to $419MFeb 2, 2026 to Mar 6, 2026
- HNW RAUM · $270M to $355MFeb 2, 2026 to Mar 6, 2026
- Individual RAUM · $37.9M to $49.8MFeb 2, 2026 to Mar 6, 2026
- Non-discretionary RAUM · $22.9M to $25.5MFeb 2, 2026 to Mar 6, 2026
- Pooled vehicle RAUM · $25.9M to $39.4MFeb 2, 2026 to Mar 6, 2026
- RAUM · $334M to $445MFeb 2, 2026 to Mar 6, 2026
- Advisory employees · 2 to 3Jan 22, 2026 to Feb 2, 2026
- Employees · 8 to 9Jan 22, 2026 to Feb 2, 2026
- State-registered IARs · 2 to 3Jan 22, 2026 to Feb 2, 2026
- Other offices · 0 to 1Dec 1, 2025 to Jan 22, 2026
- Employees · 7 to 8Mar 11, 2025 to Jun 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 11, 2025 to Jun 25, 2025
- Accounts · 691 to 827Dec 16, 2024 to Mar 11, 2025
- Advisory activities · 2 to 3Dec 16, 2024 to Mar 11, 2025
- HNW clients · 90 to 99Dec 16, 2024 to Mar 11, 2025
- Individual clients · 80 to 93Dec 16, 2024 to Mar 11, 2025
- Pension plan clients · 1 to 0Dec 16, 2024 to Mar 11, 2025
- Pooled vehicle clients · 0 to 1Dec 16, 2024 to Mar 11, 2025
- Assets in custody · $29.4M to $49.4MDec 16, 2024 to Mar 11, 2025
- Discretionary RAUM · $250M to $311MDec 16, 2024 to Mar 11, 2025
- HNW RAUM · $241M to $270MDec 16, 2024 to Mar 11, 2025
- Individual RAUM · $29.2M to $37.9MDec 16, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $21.2M to $22.9MDec 16, 2024 to Mar 11, 2025
- Pension RAUM · $400,165 to $0Dec 16, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $0 to $25.9MDec 16, 2024 to Mar 11, 2025
- RAUM · $271M to $334MDec 16, 2024 to Mar 11, 2025
- Employees · 6 to 7May 15, 2024 to Dec 16, 2024
- Private funds · unset to 1Mar 22, 2024 to May 15, 2024
- Employees · 5 to 6Mar 4, 2024 to Mar 22, 2024
- Accounts · 583 to 691Jan 11, 2024 to Mar 4, 2024
- HNW clients · 63 to 90Jan 11, 2024 to Mar 4, 2024
- Individual clients · 71 to 80Jan 11, 2024 to Mar 4, 2024
- Assets in custody · $26.0M to $29.4MJan 11, 2024 to Mar 4, 2024
Signals
3 dated events
- F••••• C••• C•••••• L•• reported RAUM $444.6M, up 33% from $333.6M (2026-02-02 to 2026-03-06)Mar 6, 2026 · RAUM change · derived
- Harris Thomas Hawks (Senior Partner) appeared on Schedule A of F••••• C••• C•••••• L••Oct 6, 2021 · Control person joined · fact
- F••••• C••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••• C••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- F••••• C••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 585-236-8501reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://WWW.F•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-236-8501reportedpublic record, Form ADV, Jul 20, 2026
- Contact form
- flowercitycapital.com/contactreportedpublished 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
- $74.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026