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
R••• A•••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Jun 16, 2020 · 18 filings
SEC status approved since Jul 16, 2020
RAUM
$441M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
84%
$371M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$63.0M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$441M as of Aug 17, 2026
Mar 29, 2021$171M then
HNW client RAUM$236M as of Aug 17, 2026
Mar 29, 2021$99.1M then
State-registered IARs (5.B.3)7 as of Aug 17, 2026
Mar 29, 20210 then
Employees (5.A)9 as of Aug 17, 2026
Mar 29, 20215 then
Private funds: no history
RAUM +29% over the last fiscal year+30% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Aug 17, 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
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $325,822derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $3.9M, 5 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M54%
- Individuals$134M30%
- Charitable organizations$66.1M15%
- Corporations and businesses$4.3M1.0%
- Individual clients
- 356reported
- HNW clients
- 108reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 1,354reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• M••••• K•••Certified Financial Planner | Rochester, Ny | Nov 8, 2022 | 13 y | 1 |
| Z•••••• M•••••• H••••••••• | Rochester, Ny | Nov 8, 2022 | 12 y | 2 |
| M••• B••••••• J••••Certified Financial Planner | Rochester, Ny | Nov 9, 2022 | 24 y | 3 |
| A••••••• L••• S••••• | Rochester, Ny | Dec 19, 2022 | 14 y | 0 |
| M••• D•••••• L•••• | Rochester, Ny | Dec 19, 2024 | 16 y | 0 |
| A•••••• W••••• | Rochester, Ny | Jul 1, 2025 | 11 y | 0 |
| C•••••• E••••• L•••••• | Rochester, Ny | Sep 5, 2025 | 20 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
- M••• B••••••• J•••• from N••••••••• F•••••••• P•••••••• L••Nov 9, 2022 · RIA to RIA
- S•••••••• M••••• K••• from N••••••••• F•••••••• P•••••••• L••Nov 8, 2022 · RIA to RIA
- Z•••••• M•••••• H••••••••• from N••••••••• F•••••••• P•••••••• L••Nov 8, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from N••••••••• F•••••••• P•••••••• L••Oct 15, 2020 · Rochester, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• Z••••••• M•••••• · Partnercontrolsince 06/2020 · owns 25% to 50%
- J••••• M•••• B••••••• · Partnercontrolsince 06/2020 · owns 25% to 50%
- K•••• S••••••••• M••••• · Cco, Partnercontrolsince 06/2020 · owns 25% to 50%
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 · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,169 to 1,354Feb 2, 2026 to Mar 24, 2026
- Advisory employees · 5 to 7Feb 2, 2026 to Mar 24, 2026
- Advisory activities · 4 to 5Feb 2, 2026 to Mar 24, 2026
- Charity clients · 3 to 5Feb 2, 2026 to Mar 24, 2026
- Corporate clients · 4 to 3Feb 2, 2026 to Mar 24, 2026
- HNW clients · 187 to 108Feb 2, 2026 to Mar 24, 2026
- Individual clients · 232 to 356Feb 2, 2026 to Mar 24, 2026
- Assets in custody · unset to 3940115.0Feb 2, 2026 to Mar 24, 2026
- Custody of client assets · false to trueFeb 2, 2026 to Mar 24, 2026
- Employees · 7 to 9Feb 2, 2026 to Mar 24, 2026
- Financial planning clients · 1-10 to 11-25Feb 2, 2026 to Mar 24, 2026
- State-registered IARs · 5 to 7Feb 2, 2026 to Mar 24, 2026
- Discretionary RAUM · $312M to $417MFeb 2, 2026 to Mar 24, 2026
- HNW RAUM · $198M to $236MFeb 2, 2026 to Mar 24, 2026
- Individual RAUM · $87.8M to $134MFeb 2, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $29.1M to $24.1MFeb 2, 2026 to Mar 24, 2026
- RAUM · $341M to $441MFeb 2, 2026 to Mar 24, 2026
- Accounts · 1,153 to 1,169Jan 2, 2025 to Mar 3, 2025
- Charity clients · 0 to 3Jan 2, 2025 to Mar 3, 2025
- Corporate clients · 10 to 4Jan 2, 2025 to Mar 3, 2025
- HNW clients · 157 to 187Jan 2, 2025 to Mar 3, 2025
- Individual clients · 258 to 232Jan 2, 2025 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Jan 2, 2025 to Mar 3, 2025
- Discretionary RAUM · $225M to $312MJan 2, 2025 to Mar 3, 2025
- HNW RAUM · $139M to $198MJan 2, 2025 to Mar 3, 2025
- Individual RAUM · $95.7M to $87.8MJan 2, 2025 to Mar 3, 2025
- Non-discretionary RAUM · $25.0M to $29.1MJan 2, 2025 to Mar 3, 2025
- RAUM · $250M to $341MJan 2, 2025 to Mar 3, 2025
- Advisory employees · 4 to 5Oct 8, 2024 to Jan 2, 2025
- Employees · 6 to 7Oct 8, 2024 to Jan 2, 2025
- State-registered IARs · 4 to 5Oct 8, 2024 to Jan 2, 2025
- Advisory employees · 5 to 4Mar 1, 2024 to Oct 3, 2024
- Employees · 7 to 6Mar 1, 2024 to Oct 3, 2024
- State-registered IARs · 5 to 4Mar 1, 2024 to Oct 3, 2024
- Accounts · 1,124 to 1,153May 30, 2023 to Mar 1, 2024
- HNW clients · 143 to 157May 30, 2023 to Mar 1, 2024
- Individual clients · 255 to 258May 30, 2023 to Mar 1, 2024
- Financial planning clients · 11-25 to 1-10May 30, 2023 to Mar 1, 2024
- Discretionary RAUM · $178M to $225MMay 30, 2023 to Mar 1, 2024
- HNW RAUM · $131M to $139MMay 30, 2023 to Mar 1, 2024
Signals
3 dated events
- R••• A•••••••• L•• reported RAUM $441.2M, up 29% from $340.9M (2026-02-02 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- Gregory Scott Klatt (Partner) no longer on Schedule A of R••• A•••••••• L•• (listed 2024-03-01, absent 2024-10-03)Oct 3, 2024 · Control person left · inference
- R••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 16, 2020 · 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
- service@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- chris@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- danielle@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- katelyn@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mark@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jenna@riseadvisorsgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-565-3444reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- riseadvisorsgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-565-3444reportedpublic record, Form ADV, Aug 17, 2026
- Contact form
- riseadvisorsgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- riseadvisorsgroup.com/our-peoplereportedpublished 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026