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
O•••••• S•••••• A•••••••• I•••
Latest filing Jul 31, 2026
First filing on the tape Jan 27, 2017 · 33 filings
SEC status approved since Feb 8, 2017
RAUM
$586M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$586M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$146M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$586M as of Jul 31, 2026
Jan 25, 2018$177M then
HNW client RAUM$511M as of Jul 31, 2026
Jan 25, 2018$146M then
State-registered IARs (5.B.3)4 as of Jul 31, 2026
Jan 25, 20182 then
Employees (5.A)9 as of Jul 31, 2026
Jan 25, 20184 then
Private funds: no history
RAUM +38% over the last fiscal year+39% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 31, 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
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $621,020derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$511M87%
- Individuals$74.7M13%
- Individual clients
- 200reported
- HNW clients
- 157reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 943reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• S••• O••••••Certified Financial Planner | Rochester, Ny | Oct 31, 2017 | 45 y | 0 |
| J••••• D••• S••••••Certified Financial Planner | Rochester, Ny | May 9, 2019 | 17 y | 1 |
| G•••• S•••••••Certified Financial Planner | Rochester, Ny | Feb 26, 2024 | 12 y | 0 |
| K••••• C• P••• | Rochester, Ny | Jul 1, 2025 | 11 y | 0 |
| G•••••• V•••• | Rochester, Ny | Sep 16, 2026 | 10 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
- J••••• D••• S•••••• from S•••• R•••• • C••• I•••May 9, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• C••••• E•••••••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- O••••••• P••••• S••• · Treasurercontrolsince 11/2016 · owns 50% to 75%
- S••••••• J•••••• D••• · President/Secretarycontrolsince 11/2016 · 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 |
|---|---|---|---|---|---|
| Rochester, Ny | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Jan 12, 2026RAUM (Item 5.F) moved from $424,909,116 to $585,621,482 (+38.0%) between the annual amendments of 2025-01-09 and 2026-01-12; the peer median change was +16.0% (1385 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 90% percentile
What changed
consecutive filings, newest first
- Employees · 8 to 9Jan 12, 2026 to Jul 31, 2026
- Accounts · 798 to 943Aug 13, 2025 to Jan 12, 2026
- HNW clients · 114 to 157Aug 13, 2025 to Jan 12, 2026
- Individual clients · 204 to 200Aug 13, 2025 to Jan 12, 2026
- Discretionary RAUM · $425M to $586MAug 13, 2025 to Jan 12, 2026
- HNW RAUM · $349M to $511MAug 13, 2025 to Jan 12, 2026
- Individual RAUM · $75.7M to $74.7MAug 13, 2025 to Jan 12, 2026
- RAUM · $425M to $586MAug 13, 2025 to Jan 12, 2026
- Employees · 7 to 8Jul 1, 2025 to Aug 13, 2025
- Advisory employees · 3 to 4Jan 9, 2025 to Jul 1, 2025
- Financial planning clients · 51-100 to 51-100Jan 9, 2025 to Jul 1, 2025
- State-registered IARs · 3 to 4Jan 9, 2025 to Jul 1, 2025
- Accounts · 755 to 798Aug 12, 2024 to Jan 9, 2025
- HNW clients · 89 to 114Aug 12, 2024 to Jan 9, 2025
- Employees · 8 to 7Aug 12, 2024 to Jan 9, 2025
- Financial planning clients · 101-250 to 51-100Aug 12, 2024 to Jan 9, 2025
- HQ city · unset to Aug 12, 2024 to Jan 9, 2025
- HQ state · unset to Aug 12, 2024 to Jan 9, 2025
- Discretionary RAUM · $323M to $425MAug 12, 2024 to Jan 9, 2025
- HNW RAUM · $256M to $349MAug 12, 2024 to Jan 9, 2025
- Individual RAUM · $67.5M to $75.7MAug 12, 2024 to Jan 9, 2025
- RAUM · $323M to $425MAug 12, 2024 to Jan 9, 2025
- Employees · 7 to 8Jul 1, 2024 to Aug 12, 2024
- Accounts · 695 to 755Oct 23, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Oct 23, 2023 to Mar 25, 2024
- HNW clients · 70 to 89Oct 23, 2023 to Mar 25, 2024
- Individual clients · 205 to 204Oct 23, 2023 to Mar 25, 2024
- Employees · 6 to 7Oct 23, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Oct 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $216M to $323MOct 23, 2023 to Mar 25, 2024
- HNW RAUM · $157M to $256MOct 23, 2023 to Mar 25, 2024
- Individual RAUM · $58.5M to $67.5MOct 23, 2023 to Mar 25, 2024
- RAUM · $216M to $323MOct 23, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Apr 18, 2023 to Jul 3, 2023
- Employees · 7 to 6Apr 18, 2023 to Jul 3, 2023
- State-registered IARs · 3 to 2Apr 18, 2023 to Jul 3, 2023
- Advisory employees · 4 to 3Mar 2, 2023 to Apr 18, 2023
- Employees · 8 to 7Mar 2, 2023 to Apr 18, 2023
- State-registered IARs · 4 to 3Mar 2, 2023 to Apr 18, 2023
- Accounts · 677 to 695Jul 5, 2022 to Mar 2, 2023
Signals
5 dated events
- G•••••• V•••• registered as an investment adviser representative at O•••••• S•••••• A•••••••• I•••Sep 16, 2026 · Advisor registered · fact
- O•••••• S•••••• A•••••••• I••• reported RAUM $585.6M, up 38% from $424.9M (2025-08-13 to 2026-01-12)Jan 12, 2026 · RAUM change · derived
- O•••••• S•••••• A•••••••• I••• reported RAUM $424.9M, up 31% from $323.1M (2024-08-12 to 2025-01-09)Jan 9, 2025 · RAUM change · derived
- O•••••• S•••••• A•••••••• I••• reported RAUM $323.1M, up 50% from $215.8M (2023-10-23 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- O•••••• S•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 27, 2017 · 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
- i•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-340-6538reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 786-541-8699reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- OKEEFES••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-340-6538reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- o•••••••••.comreportedpublished 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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026