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.
SEC-registered adviser
Courier Capital, LLC
Latest filing Mar 16, 2026
First filing on the tape Dec 28, 2015 · 29 filings
SEC status approved since Jan 4, 2016
RAUM
$3.6B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
68%
$2.4B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$256M
derived; firm RAUM over IAPD count
Employees
26
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$3.6B as of Mar 16, 2026
Mar 31, 2017$1.3B then
HNW client RAUM$1.8B as of Mar 16, 2026
Mar 29, 2018$699M then
State-registered IARs (5.B.3)12 as of Mar 16, 2026
Mar 31, 20172 then
Employees (5.A)26 as of Mar 16, 2026
Mar 31, 201713 then
Private funds: no history
RAUM +16% over the last fiscal year+24% a year over threeIARs 11 to 12offices 3 to 4
Practice profile
derived from the filing of Mar 16, 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
- 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
- $256MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 150derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $929,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 2.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.0B, 2,496 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 acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B50%
- Individuals$636M18%
- Pension and profit-sharing plans$548M15%
- Charitable organizations$456M13%
- Corporations and businesses$159M4.4%
- Individual clients
- 1,738reported
- HNW clients
- 356reported
- Pension plan clients
- 45reported
- Charitable clients
- 35reported
- Accounts
- 3,857reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $22.1M managedreported
- Custody of client assets
- $3.0B for 2,496 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Henry Gurney | Buffalo, Ny | Feb 24, 2016 | 34 y | 0 |
| Steven Anthony GattusoCertified Financial Planner, Chartered Financial Analyst | Sarasota, Fl | Aug 3, 2021 | 13 y | 0 |
| Thomas James HanlonCertified Financial Planner | Buffalo, Ny | Aug 3, 2021 | 10 y | 0 |
| Michael Robert Brace | Buffalo, Ny | Aug 11, 2021 | 18 y | 0 |
| Jason Michael Stronz | Buffalo, Ny | Aug 12, 2021 | 13 y | 0 |
| Rebecca Levengood Westervelt | Buffalo, Ny | May 9, 2023 | 23 y | 1 |
| Nicholas Timothy NorvellCertified Financial Planner | Rochester, Ny | May 30, 2023 | 28 y | 1 |
| David Carl Robbins | Rochester, Ny | Jun 13, 2023 | 25 y | 1 |
| Stephen John Fassel | Buffalo, Ny | Jun 13, 2023 | 14 y | 2 |
| Thomas Blick Reading | Pittsburgh, Pa | Jun 13, 2023 | 33 y | 3 |
| Ryan Thomas Hanlon | Buffalo, Ny | Aug 11, 2023 | 10 y | 0 |
| Lawrence Vernon WhistlerChartered Financial Analyst | Buffalo, Ny | Feb 26, 2025 | 31 y | 1 |
| Ryan Paul CoppolaChartered Financial Analyst | Buffalo, Ny | Jun 22, 2025 | 12 y | 0 |
| Jozef Nicholas Kuzmkowski | Buffalo, Ny | Jun 15, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- John Raymond Piccirilli to Verdence Capital Advisors, LLCJun 2, 2025 · RIA to RIA
- Isabella Francis Loughlin to Cobblestone Capital Advisors, LLCJan 25, 2024 · RIA to RIA
Joined, latest
- Jozef Nicholas Kuzmkowski from Key Investment Services LLCJun 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lawrence Vernon Whistler from Nottingham Advisors Inc.Feb 26, 2025 · RIA to RIA
- Thomas Blick Reading from Hnp Capital LLCJun 13, 2023 · RIA to RIA
- David Carl Robbins from Hnp Capital LLCJun 13, 2023 · RIA to RIA
- Stephen John Fassel from Hnp Capital LLCJun 13, 2023 · RIA to RIA
- Isabella Francis Loughlin from Hnp Capital LLCJun 13, 2023 · RIA to RIA
- Nicholas Timothy Norvell from Hnp Capital LLCMay 30, 2023 · RIA to RIA
- Rebecca Levengood Westervelt from Hnp Capital LLCMay 9, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from Hnp Capital LLCMay 9, 2023 · Rochester, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Thomas Hanlon · Executive Vice President, Wealth Managementcontrolsince 10/2023 · owns less than 5%
- Edward James Iglewski · Presidentcontrolsince 10/2023 · owns less than 5%
- Ann Karen Mohn · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- Michael Jason Stronz · Senior Managing Directorcontrolsince 10/2023 · owns less than 5%
- Levengood Rebecca Westervelt · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- Lynn Heather Wisinski · Senior Director Of Operationscontrolsince 01/2022 · owns less than 5%
Entity owners
- Financial Institutions, Inc. · Owner (100%)direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Five Star Bankcustodiann
- Sdn Insurance Agency LLCreal estaten
Advisers that list Courier Capital, LLC as a related person
- 150333 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 11 | 1 | 0 | ||
| Rochester, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, NY2 employees
- Jamestown, NY1 employees
- Pittsburgh, PA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 16, 2026MOHN, KAREN, ANN (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-03-28 and 2026-03-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 16, 2026WISINSKI, HEATHER, LYNN (SENIOR DIRECTOR OF OPERATIONS) left Schedule A between the filings of 2024-03-28 and 2026-03-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 16, 2026WESTERVELT, REBECCA, LEVENGOOD (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-03-16peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 16, 2026HANLON, THOMAS, JAMES (EXECUTIVE VICE PRESIDENT, WEALTH MANAGEMENT) left Schedule A between the filings of 2024-03-28 and 2026-03-16peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,600 to 3,857Sep 23, 2025 to Mar 16, 2026
- Advisory employees · 11 to 12Sep 23, 2025 to Mar 16, 2026
- Charity clients · 31 to 35Sep 23, 2025 to Mar 16, 2026
- Corporate clients · 36 to 38Sep 23, 2025 to Mar 16, 2026
- HNW clients · 360 to 356Sep 23, 2025 to Mar 16, 2026
- Individual clients · 1,735 to 1,738Sep 23, 2025 to Mar 16, 2026
- Pension plan clients · 56 to 45Sep 23, 2025 to Mar 16, 2026
- Assets in custody · $1.9B to $3.0BSep 23, 2025 to Mar 16, 2026
- Employees · 25 to 26Sep 23, 2025 to Mar 16, 2026
- State-registered IARs · 11 to 12Sep 23, 2025 to Mar 16, 2026
- Discretionary RAUM · $2.7B to $3.1BSep 23, 2025 to Mar 16, 2026
- HNW RAUM · $1.5B to $1.8BSep 23, 2025 to Mar 16, 2026
- Individual RAUM · $488M to $636MSep 23, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $431M to $504MSep 23, 2025 to Mar 16, 2026
- Pension RAUM · $553M to $548MSep 23, 2025 to Mar 16, 2026
- RAUM · $3.1B to $3.6BSep 23, 2025 to Mar 16, 2026
- Wrap assets (manager) · $19.8M to $22.1MSep 23, 2025 to Mar 16, 2026
- Other offices · 3 to 4Mar 27, 2025 to Sep 23, 2025
- Accounts · 2,222 to 3,600Apr 19, 2024 to Mar 27, 2025
- Advisory employees · 12 to 11Apr 19, 2024 to Mar 27, 2025
- Charity clients · 33 to 31Apr 19, 2024 to Mar 27, 2025
- Corporate clients · 27 to 36Apr 19, 2024 to Mar 27, 2025
- HNW clients · 406 to 360Apr 19, 2024 to Mar 27, 2025
- Individual clients · 1,684 to 1,735Apr 19, 2024 to Mar 27, 2025
- Pension plan clients · 71 to 56Apr 19, 2024 to Mar 27, 2025
- Assets in custody · $1.5B to $1.9BApr 19, 2024 to Mar 27, 2025
- Employees · 23 to 25Apr 19, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Apr 19, 2024 to Mar 27, 2025
- State-registered IARs · 12 to 11Apr 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.5B to $2.7BApr 19, 2024 to Mar 27, 2025
- HNW RAUM · $1.4B to $1.5BApr 19, 2024 to Mar 27, 2025
- Individual RAUM · $430M to $488MApr 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $401M to $431MApr 19, 2024 to Mar 27, 2025
- Pension RAUM · $578M to $553MApr 19, 2024 to Mar 27, 2025
- RAUM · $2.9B to $3.1BApr 19, 2024 to Mar 27, 2025
- Wrap assets (manager) · $16.5M to $19.8MApr 19, 2024 to Mar 27, 2025
- Accounts · 1,496 to 2,222May 17, 2023 to Mar 28, 2024
- Charity clients · 31 to 33May 17, 2023 to Mar 28, 2024
- Corporate clients · 20 to 27May 17, 2023 to Mar 28, 2024
- HNW clients · 242 to 406May 17, 2023 to Mar 28, 2024
Signals
19 dated events
- John Raymond Piccirilli left Courier Capital, Llc for Verdence Capital Advisors, Llc (registered 2025-09-16)Jun 2, 2025 · Advisor changed firm · fact
- Robert Christopher Hobaica no longer registered at Courier Capital, Llc; no later IA registration on IAPDFeb 26, 2025 · Advisor departure · fact
- Courier Capital, Llc reported RAUM $2.9B, up 51% from $1.9B (2023-05-17 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Edward James Iglewski (President) appeared on Schedule A of Courier Capital, LlcMar 28, 2024 · Control person joined · fact
- Levengood Rebecca Westervelt (Chief Compliance Officer) appeared on Schedule A of Courier Capital, LlcMar 28, 2024 · Control person joined · fact
- Michael Jason Stronz (Senior Managing Director) appeared on Schedule A of Courier Capital, LlcMar 28, 2024 · Control person joined · fact
- Ann Karen Mohn (Chief Compliance Officer) no longer on Schedule A of Courier Capital, Llc (listed 2023-05-17, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Isabella Francis Loughlin left Courier Capital, Llc for Cobblestone Capital Advisors, Llc (registered 2024-01-30)Jan 25, 2024 · Advisor changed firm · fact
- Hnp Capital LLC's advisors moved to Courier Capital, LLC (Rochester, NY): 6 of 9 registered, on the same dayMay 9, 2023 · Firm absorbed (people side) · derived
- Lynn Heather Wisinski (Senior Director Of Operations) appeared on Schedule A of Courier Capital, LlcMar 28, 2023 · Control person joined · fact
- Brian Bruce Kaz (Chief Compliance Officer) no longer on Schedule A of Courier Capital, Llc (listed 2018-07-16, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- K Martin Birmingham (Chairman/Ceo) no longer on Schedule A of Courier Capital, Llc (listed 2018-07-16, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- Bruce Kevin Klotzbach (Treasurer) no longer on Schedule A of Courier Capital, Llc (listed 2018-07-16, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- Marie Sonia Dumbleton (Secretary) no longer on Schedule A of Courier Capital, Llc (listed 2018-07-16, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- L William Kreienberg (President) no longer on Schedule A of Courier Capital, Llc (listed 2018-07-16, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- Ann Karen Mohn (Chief Compliance Officer) appeared on Schedule A of Courier Capital, LlcMar 30, 2019 · Control person joined · fact
- Courier Capital, Llc reported RAUM $1.7B, up 27% from $1.3B (2017-09-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Mustard Acquisition Sub, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 28, 2015 · Succession (Item 4) · fact
- Mustard Acquisition Sub, Llc filed its initial SEC registration (Form ADV)Dec 28, 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
- info@couriercapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-447-6080reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-461-6085reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 716-484-2402reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/COURIER-CAPITAL-CORPORATIONreportedpublic record, Form ADV, Sep 17, 2026
- Website
- COURIERCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 716-883-9595reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- couriercapital.com/our-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
- $256Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026