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
H••• P••••••••• A•••••••• L••
Latest filing May 19, 2026
First filing on the tape Sep 25, 2017 · 24 filings
SEC status approved since Oct 26, 2017
RAUM
$1.0B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
85%
$885M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
16
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.0B as of May 19, 2026
Mar 6, 2018$25.3M then
HNW client RAUM$808M as of May 19, 2026
Mar 6, 2018$22.2M then
State-registered IARs (5.B.3)8 as of May 19, 2026
Mar 6, 20180 then
Employees (5.A)16 as of May 19, 2026
Mar 6, 20182 then
Private funds: no history
RAUM +29% over the last fiscal year+25% a year over threeIARs 5 to 8offices 2 to 3
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $141,316, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$808M77%
- Pension and profit-sharing plans$146M14%
- Individuals$77.3M7.4%
- Charitable organizations$14.9M1.4%
- Individual clients
- 192reported
- HNW clients
- 152reported
- Pension plan clients
- 45reported
- Charitable clients
- 9reported
- Accounts
- 860reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $141,316 for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••• N•••••Certified Financial Planner | Buffalo, Ny | Aug 24, 2021 | 11 y | 0 |
| S•••••• J••••• C••• | Pittsford, Ny | Aug 26, 2021 | 26 y | 3 |
| M•••••• E••••• J••••Chartered Financial Analyst | Pittsford, Ny | Sep 4, 2021 | 34 y | 1 |
| J••• W••••• C••••• | Albany, Ny | May 12, 2022 | 13 y | 1 |
| J••• E••••• M••• | Fort Meyers, Fl | Nov 5, 2022 | 15 y | 1 |
| G••••• D• M•••••Certified Financial Planner | Pittsford, Ny | Apr 20, 2023 | 13 y | 3 |
| B••••••• A•••••••• B••••••Certified Financial Planner | Pittsford, Ny | May 29, 2025 | 10 y | 0 |
| N•••• L•• H•••••• | Pittsford, Ny | Sep 25, 2025 | 20 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 headcount1 left over 36 months
Left, latest
- M•••••• J• P••••• to J••• M••••• S••••••••• L••Nov 8, 2023 · RIA to wirehouse
Joined, latest
- N•••• L•• H•••••• from G••••• R••••••••• P••••••• L••Sep 25, 2025 · Other
- G••••• D• M••••• from H••• F•••• A•••••••• I•••Apr 20, 2023 · RIA to RIA
- J••• E••••• M••• from M•••••• • N••••• A•••••••• L••Nov 5, 2022 · RIA to RIA
- J••• W••••• C••••• from M•••••• • N••••• A•••••••• L••May 12, 2022 · RIA to RIA
- M•••••• E••••• J•••• from F•••••••• G••••• I••••••••• M••••••••• C••••Sep 4, 2021 · Other
- S•••••• J••••• C••• from F•••••••• S••••••••• C••••Aug 26, 2021 · Other
- M•••••• J• P••••• from H••• F•••• A•••••••• I•••Aug 24, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• S••••••• J••••• · Chief Executive Officer, Managing Membercontrolsince 08/2017 · owns 25% to 50%
- C••••• J••••••• S•••• · Chief Compliance Officercontrolsince 01/2020 · owns 5% to 10%
- J••••• M••••••• E••••• · Chief Investment Officercontrolsince 10/2017 · owns 25% to 50%
Entity owners
- B•••••• • C•• L•• · Ownerdirect · owns 25% to 50%
- J•••• C••• G••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Albany, NY1 employees
- Buffalo, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Apr 7, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-02-18 and 2026-04-07; the peer median change was 0.0% (999 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 97% percentile
What changed
consecutive filings, newest first
- Other offices · 2 to 3Apr 7, 2026 to May 19, 2026
- Accounts · 695 to 860Nov 10, 2025 to Mar 11, 2026
- Advisory employees · 11 to 13Nov 10, 2025 to Mar 11, 2026
- Charity clients · 6 to 9Nov 10, 2025 to Mar 11, 2026
- HNW clients · 129 to 152Nov 10, 2025 to Mar 11, 2026
- Individual clients · 164 to 192Nov 10, 2025 to Mar 11, 2026
- Pension plan clients · 42 to 45Nov 10, 2025 to Mar 11, 2026
- Assets in custody · unset to 141316.0Nov 10, 2025 to Mar 11, 2026
- Custody of client assets · false to trueNov 10, 2025 to Mar 11, 2026
- Employees · 13 to 16Nov 10, 2025 to Mar 11, 2026
- Financial planning clients · 101-250 to 251-500Nov 10, 2025 to Mar 11, 2026
- State-registered IARs · 5 to 8Nov 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $784M to $1.0BNov 10, 2025 to Mar 11, 2026
- HNW RAUM · $642M to $808MNov 10, 2025 to Mar 11, 2026
- Individual RAUM · $59.7M to $77.3MNov 10, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $29.8M to $40.4MNov 10, 2025 to Mar 11, 2026
- Pension RAUM · $96.0M to $146MNov 10, 2025 to Mar 11, 2026
- RAUM · $813M to $1.0BNov 10, 2025 to Mar 11, 2026
- Related insurance company · false to trueNov 10, 2025 to Mar 11, 2026
- Accounts · 617 to 695Feb 14, 2024 to Feb 18, 2025
- Charity clients · 5 to 6Feb 14, 2024 to Feb 18, 2025
- HNW clients · 118 to 129Feb 14, 2024 to Feb 18, 2025
- Individual clients · 138 to 164Feb 14, 2024 to Feb 18, 2025
- Pension plan clients · 35 to 42Feb 14, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Feb 14, 2024 to Feb 18, 2025
- State-registered IARs · 6 to 5Feb 14, 2024 to Feb 18, 2025
- Discretionary RAUM · $641M to $784MFeb 14, 2024 to Feb 18, 2025
- HNW RAUM · $557M to $642MFeb 14, 2024 to Feb 18, 2025
- Individual RAUM · $51.1M to $59.7MFeb 14, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $38.7M to $29.8MFeb 14, 2024 to Feb 18, 2025
- Pension RAUM · $59.3M to $96.0MFeb 14, 2024 to Feb 18, 2025
- RAUM · $680M to $813MFeb 14, 2024 to Feb 18, 2025
- Accounts · 530 to 617Mar 14, 2023 to Feb 14, 2024
- Advisory employees · 8 to 11Mar 14, 2023 to Feb 14, 2024
- Charity clients · unset to 5.0Mar 14, 2023 to Feb 14, 2024
- HNW clients · 105 to 118Mar 14, 2023 to Feb 14, 2024
- Individual clients · 130 to 138Mar 14, 2023 to Feb 14, 2024
- Pension plan clients · 27 to 35Mar 14, 2023 to Feb 14, 2024
- Employees · 10 to 13Mar 14, 2023 to Feb 14, 2024
- State-registered IARs · 4 to 6Mar 14, 2023 to Feb 14, 2024
Signals
8 dated events
- H••• P••••••••• A•••••••• L•• reported RAUM $1.0B, up 29% from $813.4M (2025-11-10 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- H••• P••••••••• A•••••••• L•• reported RAUM $679.9M, up 25% from $542.1M (2023-03-14 to 2024-02-14)Feb 14, 2024 · RAUM change · derived
- M•••••• J• P••••• left H••• P••••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-08-21)Nov 8, 2023 · Advisor changed firm · fact
- H••• P••••••••• A•••••••• L•• reported RAUM $458.8M, up 45% from $316.9M (2022-01-30 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- H••• P••••••••• A•••••••• L•• reported RAUM $316.9M, up 55% from $205.0M (2020-07-10 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- H••• P••••••••• A•••••••• L•• reported RAUM $205.0M, up 305% from $50.6M (2020-01-31 to 2020-03-15)Mar 15, 2020 · RAUM change · derived
- Scott Jeffrey Coons (Chief Compliance Officer) appeared on Schedule A of H••• P••••••••• A•••••••• L••Mar 15, 2020 · Control person joined · fact
- A••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 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 phone
- 585-485-0135reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/H•••P•••••••••ADVISORSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H•••P•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-485-0135reportedpublic record, Form ADV, May 19, 2026
- Contact form
- highprobabilityadvisors.com/our-firm/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- highprobabilityadvisors.com/our-firm/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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026