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
G•• F••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Oct 12, 2017 · 21 filings
SEC status approved since Nov 8, 2017
RAUM
$77.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$77.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$77.3M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$77.3M as of Mar 17, 2026
Mar 16, 2018$28.0M then
HNW client RAUM$17.1M as of Mar 17, 2026
Mar 16, 2018$10.5M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 16, 20182 then
Employees (5.A)2 as of Mar 17, 2026
Mar 16, 20182 then
Private funds: no history
RAUM +34% over the last fiscal year+21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 263derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $137,341derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $49.5M, 196 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$60.2M78%
- High-net-worth individuals$17.1M22%
- Individual clients
- 249reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 563reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.5M for 196 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• I•••••Certified Financial Planner | Pittsford, Ny | Dec 5, 2021 | 22 y | 2 |
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
- B•••• J••••• I••••• from W•••••• • R•••Dec 1, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••••• B••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 09/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Victor, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $57,761,363 to $77,322,871 (+34.0%) between the annual amendments of 2025-04-11 and 2026-03-17; the peer median change was +8.0% (220 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 556 to 563Apr 11, 2025 to Mar 17, 2026
- HNW clients · 8 to 14Apr 11, 2025 to Mar 17, 2026
- Individual clients · 261 to 249Apr 11, 2025 to Mar 17, 2026
- Assets in custody · $39.7M to $49.5MApr 11, 2025 to Mar 17, 2026
- Employees · 1 to 2Apr 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $57.8M to $77.3MApr 11, 2025 to Mar 17, 2026
- HNW RAUM · $9.8M to $17.1MApr 11, 2025 to Mar 17, 2026
- Individual RAUM · $48.0M to $60.2MApr 11, 2025 to Mar 17, 2026
- RAUM · $57.8M to $77.3MApr 11, 2025 to Mar 17, 2026
- Accounts · 513 to 556Mar 12, 2024 to Apr 11, 2025
- HNW clients · 36 to 8Mar 12, 2024 to Apr 11, 2025
- Individual clients · 161 to 261Mar 12, 2024 to Apr 11, 2025
- Assets in custody · $31.4M to $39.7MMar 12, 2024 to Apr 11, 2025
- Employees · 2 to 1Mar 12, 2024 to Apr 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Apr 11, 2025
- Other offices · 1 to 0Mar 12, 2024 to Apr 11, 2025
- Discretionary RAUM · $52.8M to $57.8MMar 12, 2024 to Apr 11, 2025
- HNW RAUM · $21.1M to $9.8MMar 12, 2024 to Apr 11, 2025
- Individual RAUM · $31.7M to $48.0MMar 12, 2024 to Apr 11, 2025
- RAUM · $52.8M to $57.8MMar 12, 2024 to Apr 11, 2025
- Accounts · 452 to 513Sep 28, 2023 to Mar 12, 2024
- HNW clients · 31 to 36Sep 28, 2023 to Mar 12, 2024
- Individual clients · 153 to 161Sep 28, 2023 to Mar 12, 2024
- Assets in custody · $30.4M to $31.4MSep 28, 2023 to Mar 12, 2024
- Financial planning clients · 26-50 to 1-10Sep 28, 2023 to Mar 12, 2024
- Other offices · 0 to 1Sep 28, 2023 to Mar 12, 2024
- Discretionary RAUM · $43.6M to $52.8MSep 28, 2023 to Mar 12, 2024
- HNW RAUM · $20.3M to $21.1MSep 28, 2023 to Mar 12, 2024
- Individual RAUM · $23.3M to $31.7MSep 28, 2023 to Mar 12, 2024
- RAUM · $43.6M to $52.8MSep 28, 2023 to Mar 12, 2024
- Accounts · 419 to 452Feb 9, 2022 to Mar 13, 2023
- HNW clients · 27 to 31Feb 9, 2022 to Mar 13, 2023
- Assets in custody · $22.8M to $30.4MFeb 9, 2022 to Mar 13, 2023
- Employees · 1 to 2Feb 9, 2022 to Mar 13, 2023
- Financial planning clients · 11-25 to 26-50Feb 9, 2022 to Mar 13, 2023
- Discretionary RAUM · $46.4M to $43.6MFeb 9, 2022 to Mar 13, 2023
- HNW RAUM · $16.2M to $20.3MFeb 9, 2022 to Mar 13, 2023
- Individual RAUM · $30.2M to $23.3MFeb 9, 2022 to Mar 13, 2023
- RAUM · $46.4M to $43.6MFeb 9, 2022 to Mar 13, 2023
- Accounts · 440 to 419Mar 26, 2021 to Feb 9, 2022
Signals
1 dated events
- G•• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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
- Website
- PUBGPS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-598-9111reportedpublic record, Form ADV, Mar 17, 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
- $77.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026