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
W•••••• N•• Y••• F•••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 22, 2019 · 21 filings
SEC status approved since Nov 21, 2019
RAUM
$84.1M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
69%
$58.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
2
2 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$84.1M as of Mar 31, 2026
Mar 31, 2020$56.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 31, 20202 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20202 then
Private funds: no history
RAUM +4.4% over the last fiscal year+8.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $42.1MderivedRAUM 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
- $422,779derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%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
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$58.3M69%
- Pension and profit-sharing plans$25.4M30%
- Banks and thrifts$492,4960.6%
- Individual clients
- 199reported
- HNW clients
- n/areported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 199reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••• A•••••Certified Financial Planner | Buffalo, Ny | Aug 7, 2021 | 27 y | 1 |
| M••• W•••••• N•••• | Buffalo, Ny | Aug 8, 2021 | 29 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
- M•••••• B••• to E••••• J••••Aug 26, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••• W•••••• N•••• from N••• F•••••••• G••••• I•••Aug 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• A••••• from B••••••••• L••Aug 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• A•••••• · Managing Partner/Iarcontrolsince 10/2019 · owns 50% to 75%
- N••••• M•••• W•••••• · Managing Partner/Ccocontrolsince 01/2020 · 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 |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 91.0% to 70.0% between the annual amendments of 2025-03-19 and 2026-03-31peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 183 to 199Mar 19, 2025 to Mar 31, 2026
- Individual clients · 183 to 199Mar 19, 2025 to Mar 31, 2026
- Pension plan clients · 7 to 6Mar 19, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Mar 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $73.3M to $58.8MMar 19, 2025 to Mar 31, 2026
- Individual RAUM · $56.5M to $58.3MMar 19, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $7.3M to $25.4MMar 19, 2025 to Mar 31, 2026
- Pension RAUM · $23.8M to $25.4MMar 19, 2025 to Mar 31, 2026
- RAUM · $80.6M to $84.1MMar 19, 2025 to Mar 31, 2026
- Accounts · 160 to 183Mar 27, 2024 to Mar 19, 2025
- Individual clients · 152 to 183Mar 27, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $67.6M to $73.3MMar 27, 2024 to Mar 19, 2025
- Individual RAUM · $53.6M to $56.5MMar 27, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $6.0M to $7.3MMar 27, 2024 to Mar 19, 2025
- Pension RAUM · $19.8M to $23.8MMar 27, 2024 to Mar 19, 2025
- RAUM · $73.7M to $80.6MMar 27, 2024 to Mar 19, 2025
- Accounts · 269 to 160Mar 24, 2023 to Mar 27, 2024
- Individual clients · 138 to 152Mar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $56.7M to $67.6MMar 24, 2023 to Mar 27, 2024
- Individual RAUM · $46.8M to $53.6MMar 24, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $8.7M to $6.0MMar 24, 2023 to Mar 27, 2024
- Pension RAUM · $18.2M to $19.8MMar 24, 2023 to Mar 27, 2024
- RAUM · $65.3M to $73.7MMar 24, 2023 to Mar 27, 2024
- Accounts · 255 to 269Sep 19, 2022 to Mar 24, 2023
- Individual clients · 127 to 138Sep 19, 2022 to Mar 24, 2023
- Discretionary RAUM · $63.4M to $56.7MSep 19, 2022 to Mar 24, 2023
- Individual RAUM · $52.5M to $46.8MSep 19, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $9.3M to $8.7MSep 19, 2022 to Mar 24, 2023
- Pension RAUM · $20.0M to $18.2MSep 19, 2022 to Mar 24, 2023
- RAUM · $72.7M to $65.3MSep 19, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Mar 8, 2022 to Sep 19, 2022
- Employees · 3 to 2Mar 8, 2022 to Sep 19, 2022
- State-registered IARs · 3 to 2Mar 8, 2022 to Sep 19, 2022
- Accounts · 220 to 255Apr 21, 2021 to Mar 8, 2022
- Advisory employees · 2 to 3Apr 21, 2021 to Mar 8, 2022
- Individual clients · 92 to 127Apr 21, 2021 to Mar 8, 2022
- Employees · 2 to 3Apr 21, 2021 to Mar 8, 2022
- State-registered IARs · 2 to 3Apr 21, 2021 to Mar 8, 2022
- Discretionary RAUM · $55.1M to $63.4MApr 21, 2021 to Mar 8, 2022
Signals
5 dated events
- M•••••• B••• left W•••••• N•• Y••• F•••••••• G••••• L•• for E••••• J•••• (registered 2022-12-11)Aug 26, 2022 · Advisor changed firm · fact
- William Mark Narby (Managing Member/Iar) appeared on Schedule A of W•••••• N•• Y••• F•••••••• G••••• L••Feb 4, 2020 · Control person joined · fact
- William Mark Narby (Managing Member / Iar) no longer on Schedule A of W•••••• N•• Y••• F•••••••• G••••• L•• (listed 2020-01-16, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- William Mark Narby (Managing Member / Iar) appeared on Schedule A of W•••••• N•• Y••• F•••••••• G••••• L••Jan 16, 2020 · Control person joined · fact
- W•••••• N•• Y••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Oct 22, 2019 · 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
- 716-743-6262reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 716-743-6262reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- w••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- w••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026