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
L••••• R••••••••• A•••••••
Legal name L••••• R••••••••• A•••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Feb 3, 2016 · 28 filings
SEC status approved since Feb 24, 2016
RAUM
$2.1B
reported, Item 5.F
Discretionary
4.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.1B as of Jul 8, 2026
Mar 30, 2017$450M then
HNW client RAUM$0 as of Jul 8, 2026
Mar 19, 2018$0 then
State-registered IARs (5.B.3)8 as of Jul 8, 2026
Mar 30, 20170 then
Employees (5.A)12 as of Jul 8, 2026
Mar 30, 20177 then
Private funds: no history
RAUM +9.1% over the last fiscal year+18% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
- $194MderivedRAUM 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
- $12.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.6%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 161reported
- Charitable clients
- 0reported
- Accounts
- 178reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• M••••• M••••••• | West Seneca, Ny | Jul 2, 2018 | 16 y | 1 |
| R••• T••••• M•••••Certified Financial Planner | Rochester, Ny | Jul 19, 2021 | 11 y | 2 |
| T••• M•••••• T••••• | Buffalo, Ny | Jul 21, 2021 | 25 y | 4 |
| L•••• A•• C••••• | Buffalo, Ny | Jul 28, 2021 | 21 y | 4 |
| J•••• J••••• R••••Chartered Financial Consultant | Rochester, Ny | Aug 25, 2021 | 42 y | 2 |
| A••• M• C•••••• | Rochester, Ny | Feb 20, 2024 | 12 y | 0 |
| J•••• P•••••• R•••• | Buffalo, Ny | Mar 15, 2024 | 14 y | 0 |
| M•••••• J• S••• | Buffalo, Ny | Jul 15, 2024 | 14 y | 1 |
| B••••• V•••••• | Buffalo, Ny | Sep 16, 2025 | 12 y | 0 |
| M••• K• S••••• | Buffalo, Ny | Dec 17, 2025 | 12 y | 3 |
| A••••• J••••• P••••••••• | Buffalo, Ny | May 25, 2026 | 18 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- R••••• C•••••• S•••• to M••••• W••••• M••••••••• L••May 7, 2025 · Other
- E••• W•••••• G••••••• to O•••• W•••••• I•••May 29, 2024 · Other
Joined, latest
- S••••• M••••• M••••••• from C•••••• G•••• • C• I••Jul 7, 2026 · Other
- M••• K• S••••• from L•• F•••••••• L••Dec 17, 2025 · Other
- M•••••• J• S••• from C•••••• G•••• • C• I••Jul 15, 2024 · Other
- R••••• C•••••• S•••• from M••••• S••••••Jul 17, 2023 · Other
- J•••• J••••• R•••• from C•••••• G•••• • C• I••Aug 25, 2021 · Other
- L•••• A•• C••••• from C•••••• G•••• • C• I••Jul 28, 2021 · Other
- E••• W•••••• G••••••• from C•••••• G•••• • C• I••Jul 22, 2021 · Other
- T••• M•••••• T••••• from C•••••• G•••• • C• I••Jul 21, 2021 · Other
- R••• T••••• M••••• from S•••• R•••• • C••• I•••Jul 19, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from C•••••• G•••• • C• I••May 10, 2022 · Buffalo, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• J••••• J••••• · Managing Member, Managing Director, And Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- T•••••• T•••• M•••••• · Managing Directorcontrolsince 01/2016 · owns less than 5%
Entity owners
- L••••• P•••••• L•• · Ownerdirect · owns 75% or more
- L••••• P•• I•••••••• L•• · Ownerindirect · owns 25% to 50% of L••••• P•••••• L••
- L••••• S••••••• I••• · Ownerindirect · owns 25% to 50% of L••••• P•••••• L••
Related persons
Schedule D 7.A
- L•••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 11 | 3 | 0 | ||
| Rochester, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, NY4 employees
What changed
consecutive filings, newest first
- Accounts · 163 to 178Oct 28, 2025 to Mar 20, 2026
- Pension plan clients · 156 to 161Oct 28, 2025 to Mar 20, 2026
- Employees · 11 to 12Oct 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $31.1M to $98.1MOct 28, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $1.9B to $2.0BOct 28, 2025 to Mar 20, 2026
- Pension RAUM · $2.0B to $2.1BOct 28, 2025 to Mar 20, 2026
- RAUM · $2.0B to $2.1BOct 28, 2025 to Mar 20, 2026
- Accounts · 154 to 163Aug 5, 2024 to Mar 31, 2025
- Advisory employees · 3 to 5Aug 5, 2024 to Mar 31, 2025
- BD registered reps · 5 to 3Aug 5, 2024 to Mar 31, 2025
- Corporate clients · 150 to 0Aug 5, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 156Aug 5, 2024 to Mar 31, 2025
- Employees · 8 to 11Aug 5, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 3Aug 5, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 5, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 8Aug 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $31.2M to $31.1MAug 5, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.6B to $1.9BAug 5, 2024 to Mar 31, 2025
- Pension RAUM · $26.0M to $2.0BAug 5, 2024 to Mar 31, 2025
- RAUM · $1.7B to $2.0BAug 5, 2024 to Mar 31, 2025
- Related adviser · false to trueAug 5, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Jul 13, 2024 to Aug 5, 2024
- Employees · 7 to 8Jul 13, 2024 to Aug 5, 2024
- State-registered IARs · 6 to 7Jul 13, 2024 to Aug 5, 2024
- Discretionary RAUM · $0 to $31.2MJun 10, 2024 to Jul 13, 2024
- Non-discretionary RAUM · $1.7B to $1.6BJun 10, 2024 to Jul 13, 2024
- Advisory employees · 3 to 2Mar 24, 2024 to May 29, 2024
- Employees · 8 to 7Mar 24, 2024 to May 29, 2024
- State-registered IARs · 7 to 6Mar 24, 2024 to May 29, 2024
- Advisory employees · 4 to 3Feb 26, 2024 to Mar 24, 2024
- BD registered reps · 6 to 5Feb 26, 2024 to Mar 24, 2024
- Employees · 9 to 8Feb 26, 2024 to Mar 24, 2024
- State-registered IARs · 8 to 7Feb 26, 2024 to Mar 24, 2024
- Accounts · 137 to 154Feb 21, 2024 to Feb 26, 2024
- Corporate clients · 136 to 150Feb 21, 2024 to Feb 26, 2024
- Pension plan clients · 1 to 4Feb 21, 2024 to Feb 26, 2024
- Employees · 8 to 9Feb 21, 2024 to Feb 26, 2024
- Non-discretionary RAUM · $1.3B to $1.7BFeb 21, 2024 to Feb 26, 2024
- Pension RAUM · $4.2M to $26.0MFeb 21, 2024 to Feb 26, 2024
- RAUM · $1.3B to $1.7BFeb 21, 2024 to Feb 26, 2024
Signals
9 dated events
- R••••• C•••••• S•••• left L••••• R••••••••• A••••••• for M••••• W••••• M••••••••• L•• (registered 2025-04-27)May 7, 2025 · Advisor changed firm · fact
- E••• W•••••• G••••••• left L••••• R••••••••• A••••••• for O•••• W•••••• I••• (registered 2022-05-06)May 29, 2024 · Advisor changed firm · fact
- L••••• R••••••••• A••••••• reported RAUM $1.7B, up 28% from $1.3B (2024-02-21 to 2024-02-26)Feb 26, 2024 · RAUM change · derived
- 4 advisors left C•••••• G•••• • C• I•• (Buffalo, NY) for L••••• R••••••••• A••••••• on the same dayMay 10, 2022 · Team lift-out · derived
- L••••• R••••••••• A••••••• reported RAUM $1.2B, up 30% from $902.1M (2020-03-28 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- L••••• R••••••••• A••••••• reported RAUM $902.1M, up 32% from $682.3M (2019-06-21 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- L••••• R••••••••• A••••••• reported RAUM $612.1M, up 36% from $450.0M (2017-03-30 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
- L••••• R••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 3, 2016 · Succession (Item 4) · fact
- L••••• R••••••••• A••••••• filed its initial SEC registration (Form ADV)Feb 3, 2016 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-849-8219reportedpublic record, Form ADV, Jul 8, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026