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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••• A•••• M••••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Nov 12, 2015 · 22 filings
SEC status approved since Nov 19, 2015
RAUM
$52.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$28.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$52.7M as of Jan 23, 2026
Mar 21, 2016$50.0M then
HNW client RAUM$28.0M as of Jan 23, 2026
Mar 7, 2018$59.1M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Mar 21, 20160 then
Employees (5.A)1 as of Jan 23, 2026
Mar 21, 20161 then
Private funds: no history
RAUM -20% over the last fiscal year-5.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $909,434derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$28.0M53%
- Insurance companies$24.8M47%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.53 fund_share=0.0 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•••• M•••••• | Rochester, Ny | Apr 20, 2021 | 42 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• W••••••• F•••• · Managing Member/Ccocontrolsince 11/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jan 23, 2026institutional share of RAUM of 47% against a peer median of 0% (311 comparable advisers, 98.0th percentile, 15.8 robust deviations)peers: independent wealth managers, under $100M (311) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 53 to 58Oct 23, 2025 to Jan 23, 2026
- Financial planning clients · to 0Oct 23, 2025 to Jan 23, 2026
- Discretionary RAUM · $65.6M to $52.7MOct 23, 2025 to Jan 23, 2026
- HNW RAUM · $42.0M to $28.0MOct 23, 2025 to Jan 23, 2026
- RAUM · $65.6M to $52.7MOct 23, 2025 to Jan 23, 2026
- Financial planning clients · unset to Mar 6, 2024 to Feb 5, 2025
- HQ city · unset to Mar 6, 2024 to Feb 5, 2025
- HQ state · unset to Mar 6, 2024 to Feb 5, 2025
- Discretionary RAUM · $68.3M to $65.6MMar 6, 2024 to Feb 5, 2025
- HNW RAUM · $46.3M to $42.0MMar 6, 2024 to Feb 5, 2025
- RAUM · $68.3M to $65.6MMar 6, 2024 to Feb 5, 2025
- Accounts · 39 to 53Jan 26, 2023 to Mar 6, 2024
- Discretionary RAUM · $43.3M to $68.3MJan 26, 2023 to Mar 6, 2024
- HNW RAUM · $43.3M to $46.3MJan 26, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $18.5M to $0Jan 26, 2023 to Mar 6, 2024
- RAUM · $61.9M to $68.3MJan 26, 2023 to Mar 6, 2024
- Accounts · 27 to 39Feb 18, 2022 to Jan 26, 2023
- Advisory activities · 3 to 2Feb 18, 2022 to Jan 26, 2023
- Financial planning clients · 0 to unsetFeb 18, 2022 to Jan 26, 2023
- Discretionary RAUM · $49.5M to $43.3MFeb 18, 2022 to Jan 26, 2023
- HNW RAUM · $49.5M to $43.3MFeb 18, 2022 to Jan 26, 2023
- Non-discretionary RAUM · $0 to $18.5MFeb 18, 2022 to Jan 26, 2023
- RAUM · $49.5M to $61.9MFeb 18, 2022 to Jan 26, 2023
- Accounts · 15 to 27Apr 29, 2021 to Feb 17, 2022
- Discretionary RAUM · $42.4M to $49.5MApr 29, 2021 to Feb 17, 2022
- HNW RAUM · $42.4M to $49.5MApr 29, 2021 to Feb 17, 2022
- RAUM · $42.4M to $49.5MApr 29, 2021 to Feb 17, 2022
- Accounts · 19 to 15Jun 23, 2020 to Feb 26, 2021
- State-registered IARs · 0 to 1Jun 23, 2020 to Feb 26, 2021
- Discretionary RAUM · $53.1M to $42.4MJun 23, 2020 to Feb 26, 2021
- HNW RAUM · $53.1M to $42.4MJun 23, 2020 to Feb 26, 2021
- RAUM · $53.1M to $42.4MJun 23, 2020 to Feb 26, 2021
- Accounts · 22 to 19Feb 28, 2019 to Feb 27, 2020
- Discretionary RAUM · $52.4M to $53.1MFeb 28, 2019 to Feb 27, 2020
- HNW RAUM · $52.4M to $53.1MFeb 28, 2019 to Feb 27, 2020
- RAUM · $52.4M to $53.1MFeb 28, 2019 to Feb 27, 2020
- Accounts · 24 to 22Mar 7, 2018 to Feb 28, 2019
- Discretionary RAUM · $59.1M to $52.4MMar 7, 2018 to Feb 28, 2019
- HNW RAUM · $59.1M to $52.4MMar 7, 2018 to Feb 28, 2019
- RAUM · $59.1M to $52.4MMar 7, 2018 to Feb 28, 2019
Signals
1 dated events
- R••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 12, 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
- Principal office phone
- 585-737-5381reportedpublic record, Form ADV, Jan 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026