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
I••••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 24, 2025 · 2 filings
SEC status approved since Sep 30, 2025
RAUM
$68.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$22.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$68.2M as of Mar 30, 2026
Sep 24, 2025$55.2M then
HNW client RAUM$29.6M as of Mar 30, 2026
Sep 24, 2025$23.2M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Sep 24, 20253 then
Employees (5.A)5 as of Mar 30, 2026
Sep 24, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $22.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $134,741derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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 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
- Individuals$38.6M57%
- High-net-worth individuals$29.6M43%
- Individual clients
- 121reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 506reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J•• H••••Certified Financial Planner | Rochester, Ny | Sep 27, 2021 | 14 y | 0 |
| J••• L•• H•••• | Rochester, Ny | Sep 27, 2021 | 11 y | 2 |
| G••• F•••••• T•••••••Certified Financial Planner, Chartered Financial Consultant | Rochester, Ny | Sep 1, 2023 | 12 y | 1 |
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
- G••• F•••••• T••••••• from N•••••••• I••••••••• A••••••• L••Sep 1, 2023 · Other
- J••• L•• H•••• from N••••••••• M••••• I••••••••• S•••••••••Sep 27, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••••••• J•• · Managing Member & Ccocontrolsince 07/2020 · owns 75% or more
- H••••• J•••• L•• · Member & Ciocontrolsince 07/2020 · owns 10% to 25%
- N•••••••• S••••••••• C•••••••• · Director Of Operationssince 01/2025 · owns less than 5%
- T•••••••• G•••• F•••••• · Director Of Financial Planningsince 01/2025 · owns less than 5%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 124 to 506Sep 24, 2025 to Mar 30, 2026
- HNW clients · 16 to 20Sep 24, 2025 to Mar 30, 2026
- Individual clients · 108 to 121Sep 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $55.2M to $68.2MSep 24, 2025 to Mar 30, 2026
- HNW RAUM · $23.2M to $29.6MSep 24, 2025 to Mar 30, 2026
- Individual RAUM · $32.1M to $38.6MSep 24, 2025 to Mar 30, 2026
- RAUM · $55.2M to $68.2MSep 24, 2025 to Mar 30, 2026
Signals
No event on the tape.
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
- 585-978-7887reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/iconocapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-504-1616reportedpublic record, Form ADV, Mar 30, 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
- $22.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026