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
N•••••••• W••••• M•••••••••
Legal name N•••••••• W••••• M••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Feb 1, 2021 · 13 filings
SEC status approved since Mar 4, 2021
RAUM
$706M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
95%
$674M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$177M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$706M as of Aug 17, 2026
Mar 10, 2022$518M then
HNW client RAUM$535M as of Aug 17, 2026
Mar 10, 2022$372M then
State-registered IARs (5.B.3)4 as of Aug 17, 2026
Mar 10, 20223 then
Employees (5.A)6 as of Aug 17, 2026
Mar 10, 20225 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 3 to 4
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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $177MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $506,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $706MreportedItem 5.I
- Custody
- $108M, 57 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$535M76%
- Individuals$139M20%
- Charitable organizations$21.6M3.1%
- Corporations and businesses$10.2M1.4%
- Individual clients
- 404reported
- HNW clients
- 166reported
- Pension plan clients
- 0reported
- Charitable clients
- 16reported
- Accounts
- 1,394reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $706M sponsored, $650M managedreported
- Custody of client assets
- $108M for 57 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M• O••••••Certified Financial Planner | Williamsville, Ny | May 17, 2021 | 31 y | 2 |
| R••••• M• H••••••••• | Williamsville, Ny | May 23, 2021 | 24 y | 1 |
| K•••• J• K••••• | Williamsville, Ny | May 23, 2021 | 22 y | 3 |
| I•• W••••Chartered Financial Analyst | Williamsville, Ny | May 5, 2026 | 10 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
- R••••• M• H••••••••• from W•••• F•••• A•••••••May 23, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• J• K••••• from W•••• F•••• A•••••••May 23, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E••• M• O•••••• from W•••• F•••• A•••••••May 17, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••May 21, 2021 · Williamsville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••••• M•••••• · Co-Founder, Chief Compliance Officer, Senior Financial Advisorcontrolsince 01/2021 · owns 10% to 25%
- O••••••• E•••• M• · Founder, Managing Partnercontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lockport, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 1,405 to 1,394Jun 11, 2025 to Mar 18, 2026
- Charity clients · 18 to 16Jun 11, 2025 to Mar 18, 2026
- HNW clients · 139 to 166Jun 11, 2025 to Mar 18, 2026
- Individual clients · 471 to 404Jun 11, 2025 to Mar 18, 2026
- Assets in custody · $84.2M to $108MJun 11, 2025 to Mar 18, 2026
- State-registered IARs · 3 to 4Jun 11, 2025 to Mar 18, 2026
- Discretionary RAUM · $597M to $667MJun 11, 2025 to Mar 18, 2026
- HNW RAUM · $437M to $535MJun 11, 2025 to Mar 18, 2026
- Individual RAUM · $144M to $139MJun 11, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $17.8M to $39.1MJun 11, 2025 to Mar 18, 2026
- RAUM · $615M to $706MJun 11, 2025 to Mar 18, 2026
- Wrap assets (manager) · $596M to $650MJun 11, 2025 to Mar 18, 2026
- Wrap assets (sponsor) · $615M to $706MJun 11, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Mar 19, 2025 to Jun 11, 2025
- Accounts · 1,379 to 1,405Mar 15, 2024 to Mar 19, 2025
- Corporate clients · 10 to 8Mar 15, 2024 to Mar 19, 2025
- HNW clients · 127 to 139Mar 15, 2024 to Mar 19, 2025
- Individual clients · 445 to 471Mar 15, 2024 to Mar 19, 2025
- Assets in custody · $30.1M to $84.2MMar 15, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 0Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · $549M to $597MMar 15, 2024 to Mar 19, 2025
- HNW RAUM · $387M to $437MMar 15, 2024 to Mar 19, 2025
- Individual RAUM · $147M to $144MMar 15, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $16.2M to $17.8MMar 15, 2024 to Mar 19, 2025
- RAUM · $566M to $615MMar 15, 2024 to Mar 19, 2025
- Wrap assets (manager) · $520M to $596MMar 15, 2024 to Mar 19, 2025
- Wrap assets (sponsor) · $566M to $615MMar 15, 2024 to Mar 19, 2025
- Accounts · 1,330 to 1,379Mar 9, 2023 to Mar 15, 2024
- Charity clients · 17 to 18Mar 9, 2023 to Mar 15, 2024
- Corporate clients · 9 to 10Mar 9, 2023 to Mar 15, 2024
- HNW clients · 133 to 127Mar 9, 2023 to Mar 15, 2024
- Individual clients · 470 to 445Mar 9, 2023 to Mar 15, 2024
- Assets in custody · $51.6M to $30.1MMar 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $478M to $549MMar 9, 2023 to Mar 15, 2024
- HNW RAUM · $352M to $387MMar 9, 2023 to Mar 15, 2024
- Individual RAUM · $129M to $147MMar 9, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $15.1M to $16.2MMar 9, 2023 to Mar 15, 2024
- RAUM · $493M to $566MMar 9, 2023 to Mar 15, 2024
- Wrap assets (manager) · $448M to $520MMar 9, 2023 to Mar 15, 2024
- Wrap assets (sponsor) · $493M to $566MMar 9, 2023 to Mar 15, 2024
Signals
1 dated events
- N•••• C••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 1, 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
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-632-6565reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/northcape-wealth-managementreportedpublic record, Form ADV, Sep 21, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (71) 632-6565reportedpublic record, Form ADV, Aug 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
- $177Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026