DFX Intelligence
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SEC-registered adviser
A•••• E••••• P•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 27, 2021 · 14 filings
SEC status approved since Jun 25, 2021
RAUM
$58.7M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$58.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$29.3M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$58.7M as of Mar 25, 2026
Feb 24, 2022$51.0M then
HNW client RAUM$37.0M as of Mar 25, 2026
Feb 24, 2022$26.9M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Feb 24, 20221 then
Employees (5.A)2 as of Mar 25, 2026
Feb 24, 20221 then
Private funds: no history
RAUM +10% over the last fiscal year+14% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 25, 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
- $29.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $331,424derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +149%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$37.0M63%
- Individuals$21.7M37%
- Individual clients
- 160reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 177reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• F•••• T•••••• | Amherst, Ny | Aug 5, 2021 | 42 y | 0 |
| N••••• T•••••• | Nashville, Tn | Jan 1, 2026 | 11 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- N••••• T•••••• from 2••• C•••••• L••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• S••••••• F•••• · Managing Member & Chief Compliance Officercontrolsince 07/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Amherst, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN
What changed
consecutive filings, newest first
- Accounts · 192 to 177Mar 5, 2025 to Mar 25, 2026
- Advisory employees · 2 to 1Mar 5, 2025 to Mar 25, 2026
- HNW clients · 16 to 17Mar 5, 2025 to Mar 25, 2026
- Individual clients · 55 to 160Mar 5, 2025 to Mar 25, 2026
- Financial planning clients · to 0Mar 5, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 0Mar 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $35.3M to $41.0MMar 5, 2025 to Mar 25, 2026
- HNW RAUM · $38.1M to $37.0MMar 5, 2025 to Mar 25, 2026
- Individual RAUM · $15.2M to $21.7MMar 5, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $18.0M to $17.7MMar 5, 2025 to Mar 25, 2026
- RAUM · $53.2M to $58.7MMar 5, 2025 to Mar 25, 2026
- Accounts · 173 to 192Apr 11, 2024 to Mar 5, 2025
- HNW clients · 15 to 16Apr 11, 2024 to Mar 5, 2025
- Individual clients · 73 to 55Apr 11, 2024 to Mar 5, 2025
- Financial planning clients · unset to Apr 11, 2024 to Mar 5, 2025
- HQ city · unset to Apr 11, 2024 to Mar 5, 2025
- HQ state · unset to Apr 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $29.4M to $35.3MApr 11, 2024 to Mar 5, 2025
- HNW RAUM · $32.6M to $38.1MApr 11, 2024 to Mar 5, 2025
- Individual RAUM · $13.9M to $15.2MApr 11, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $17.0M to $18.0MApr 11, 2024 to Mar 5, 2025
- RAUM · $46.5M to $53.2MApr 11, 2024 to Mar 5, 2025
- Advisory employees · 1 to 2Mar 7, 2024 to Apr 11, 2024
- BD registered reps · 1 to 0Mar 7, 2024 to Apr 11, 2024
- Employees · 1 to 2Mar 7, 2024 to Apr 11, 2024
- State-registered IARs · 1 to 2Mar 7, 2024 to Apr 11, 2024
- Related broker-dealer · true to falseMar 7, 2024 to Apr 11, 2024
- Accounts · 176 to 173Feb 22, 2024 to Mar 7, 2024
- HNW clients · 9 to 15Feb 22, 2024 to Mar 7, 2024
- Individual clients · 84 to 73Feb 22, 2024 to Mar 7, 2024
- Discretionary RAUM · $24.8M to $29.4MFeb 22, 2024 to Mar 7, 2024
- HNW RAUM · $22.6M to $32.6MFeb 22, 2024 to Mar 7, 2024
- Individual RAUM · $16.9M to $13.9MFeb 22, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $14.7M to $17.0MFeb 22, 2024 to Mar 7, 2024
- RAUM · $39.6M to $46.5MFeb 22, 2024 to Mar 7, 2024
- Other offices · 0 to 1Mar 14, 2023 to Feb 22, 2024
- Accounts · 179 to 176Jan 19, 2023 to Mar 14, 2023
- HNW clients · 10 to 9Jan 19, 2023 to Mar 14, 2023
- Discretionary RAUM · $31.0M to $24.8MJan 19, 2023 to Mar 14, 2023
- HNW RAUM · $26.9M to $22.6MJan 19, 2023 to Mar 14, 2023
Signals
1 dated events
- ••• LockedMay 27, 2021 · 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
- g•••••••@a••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-838-5504reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a••••••.comreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 716-838-5504reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- a••••••.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
- $29.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026