DFX Intelligence

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C•••••• I••••••• G•••• O• W••• L•••

Independent wealth managerSEC-registered· Buffalo, New York

Independent wealth manager, based in Buffalo, New York, reporting $58.6M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $58.6M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +37%
Private clients: 100%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+37.2%
RAUM, one year
RAUM $42.7M to $58.6M (+37.2%) on the Form ADV filed 1 Apr 2026, while advisors on the filing rose 2 to 3.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 282909 · SEC 801-128310 · 4 filingsShow

CRD 282909SEC 801-128310First filing on the tape Jun 9, 2023, latest Apr 1, 2026SEC status approved since Jul 10, 2023IAPD

RAUM

$58.6M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

100%

$58.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$19.5M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM +37% over the last fiscal year · the tape starts Jun 9, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$58.6M as of Apr 1, 2026

Mar 29, 2024$37.6M then

HNW client RAUM$26.5M as of Apr 1, 2026

Mar 29, 2024$16.1M then

State-registered IARs (5.B.3)3 as of Apr 1, 2026

Mar 29, 20242 then

Employees (5.A)3 as of Apr 1, 2026

Mar 29, 20242 then

Private funds: no history

RAUM +37% over the last fiscal yearIARs 2 to 3

Practice profile

derived from the filing of Apr 1, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $19.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 43derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.5MderivedHNW RAUM over HNW clients
Average account: $161,400derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +37%derivedbetween the last two annual amendments
Advisor growth, one year: +50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.7%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $19.7M, 46 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

55% individuals, 45% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Individuals$32.0M55%
High-net-worth individuals$26.5M45%

Individual clients: 110reported
HNW clients: 18reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 363reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $19.7M for 46 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

C••••••••• R•••••• C•••••• from E•••••••• A•••••••• L••
Mar 4, 2021 · Affiliated broker-dealer or bank to independent RIA
B•••• L•••••• C••••• from M•• S••••••••• I•••
Mar 4, 2021 · Other

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••••••• R•••••• C••••••	Buffalo, Ny	Mar 4, 2021	21 y	1
B•••• L•••••• C•••••Certified Financial Planner, Chartered Financial Consultant	Buffalo, Ny	Mar 4, 2021	40 y	1
B••••• R••••• S••••••••	Buffalo, Ny	Mar 30, 2026	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• C••••••••• R•••••• · President, Ccocontrol
since 02/2016 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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
Buffalo, Ny · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 324 to 363
Mar 31, 2025 to Apr 1, 2026
Advisory employees · 2 to 3
Mar 31, 2025 to Apr 1, 2026
HNW clients · 16 to 18
Mar 31, 2025 to Apr 1, 2026
Individual clients · 104 to 110
Mar 31, 2025 to Apr 1, 2026
Assets in custody · $13.6M to $19.7M
Mar 31, 2025 to Apr 1, 2026

Full history · 28 changes

Employees · 2 to 3
Mar 31, 2025 to Apr 1, 2026
State-registered IARs · 2 to 3
Mar 31, 2025 to Apr 1, 2026
Discretionary RAUM · $42.7M to $57.7M
Mar 31, 2025 to Apr 1, 2026
HNW RAUM · $19.0M to $26.5M
Mar 31, 2025 to Apr 1, 2026
Individual RAUM · $23.7M to $32.0M
Mar 31, 2025 to Apr 1, 2026
Non-discretionary RAUM · $0 to $885,774
Mar 31, 2025 to Apr 1, 2026
RAUM · $42.7M to $58.6M
Mar 31, 2025 to Apr 1, 2026
Accounts · 312 to 324
Mar 29, 2024 to Mar 31, 2025
HNW clients · 18 to 16
Mar 29, 2024 to Mar 31, 2025
Assets in custody · $43,124 to $13.6M
Mar 29, 2024 to Mar 31, 2025
Financial planning clients · 1-10 to 1-10
Mar 29, 2024 to Mar 31, 2025
Discretionary RAUM · $37.6M to $42.7M
Mar 29, 2024 to Mar 31, 2025
HNW RAUM · $16.1M to $19.0M
Mar 29, 2024 to Mar 31, 2025
Individual RAUM · $21.5M to $23.7M
Mar 29, 2024 to Mar 31, 2025
RAUM · $37.6M to $42.7M
Mar 29, 2024 to Mar 31, 2025
Accounts · 346 to 312
Jun 9, 2023 to Mar 29, 2024
HNW clients · 12 to 18
Jun 9, 2023 to Mar 29, 2024
Individual clients · 112 to 104
Jun 9, 2023 to Mar 29, 2024
Assets in custody · $28,282 to $43,124
Jun 9, 2023 to Mar 29, 2024
Discretionary RAUM · $31.2M to $37.6M
Jun 9, 2023 to Mar 29, 2024
HNW RAUM · $12.4M to $16.1M
Jun 9, 2023 to Mar 29, 2024
Individual RAUM · $18.8M to $21.5M
Jun 9, 2023 to Mar 29, 2024
RAUM · $31.2M to $37.6M
Jun 9, 2023 to Mar 29, 2024

Signals

1 dated events

••• Locked
Jun 9, 2023 · 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: ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $19.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026