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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Former SEC-registered adviser

P•••••••• S••••••• I•••

Former SEC-registered adviserToronto, Ontario, CRD 312820SEC 801-120808IAPD
Latest filing Sep 8, 2023
First filing on the tape Mar 16, 2021 · 9 filings
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$157M as of Apr 11, 2023
May 12, 2022$0 then
HNW client RAUM$62.8M as of Apr 11, 2023
May 12, 2022$0 then
State-registered IARs (5.B.3)1 as of Apr 11, 2023
May 12, 20220 then
Employees (5.A)17 as of Apr 11, 2023
May 12, 20221 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 1offices 0 to 1
Practice profile
derived from the filing of Sep 8, 2023; every figure names its basis
RAUM per advisor
$157MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
597derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$249,992derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
17.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$81.8M52%
  • High-net-worth individuals$62.8M40%
  • Corporations and businesses$12.6M8.0%
Individual clients
564reported
HNW clients
33reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
629reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T••••• P•••• S•••••• · President & Chief Compliance Officercontrol
        since 11/2011 · owns less than 5%
      • Z••••••• G•••••• K••••• · Vp, Compliance & Business Optimizationcontrol
        since 01/2023 · owns less than 5%
      • T••••• P•••• S•••••• · Membercontrol
        since 01/2018 · owns 75% or more of W••••• S••••••• I•••
      Entity owners
      • W••••• S••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Buffalo, NY
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 629
        May 12, 2022 to Apr 11, 2023
      • Advisory employees · 1 to 9
        May 12, 2022 to Apr 11, 2023
      • BD registered reps · 1 to 6
        May 12, 2022 to Apr 11, 2023
      • Charity clients · unset to 0.0
        May 12, 2022 to Apr 11, 2023
      • Corporate clients · unset to 32.0
        May 12, 2022 to Apr 11, 2023
      • HNW clients · unset to 33.0
        May 12, 2022 to Apr 11, 2023
      • Individual clients · unset to 564.0
        May 12, 2022 to Apr 11, 2023
      • Pension plan clients · unset to 0.0
        May 12, 2022 to Apr 11, 2023
      • Pooled vehicle clients · unset to 0.0
        May 12, 2022 to Apr 11, 2023
      • Employees · 1 to 17
        May 12, 2022 to Apr 11, 2023
      • Financial planning clients · 0 to 26-50
        May 12, 2022 to Apr 11, 2023
      • State-registered IARs · 0 to 1
        May 12, 2022 to Apr 11, 2023
      • Other offices · 0 to 1
        May 12, 2022 to Apr 11, 2023
      • Discretionary RAUM · $0 to $157M
        May 12, 2022 to Apr 11, 2023
      • HNW RAUM · $0 to $62.8M
        May 12, 2022 to Apr 11, 2023
      • Individual RAUM · $0 to $81.8M
        May 12, 2022 to Apr 11, 2023
      • RAUM · $0 to $157M
        May 12, 2022 to Apr 11, 2023
      • Related broker-dealer · true to false
        May 12, 2022 to Apr 11, 2023
      • Advisory activities · 3 to 2
        May 13, 2021 to May 12, 2022
      • BD registered reps · 0 to 1
        May 13, 2021 to May 12, 2022
      • HNW RAUM · unset to 0.0
        May 13, 2021 to May 12, 2022
      • Individual RAUM · unset to 0.0
        May 13, 2021 to May 12, 2022
      • Pension RAUM · unset to 0.0
        May 13, 2021 to May 12, 2022
      • Pooled vehicle RAUM · unset to 0.0
        May 13, 2021 to May 12, 2022
      • Related broker-dealer · false to true
        May 13, 2021 to May 12, 2022
      Signals
      2 dated events
      • K••••• G••••• Z•••••• (Vp, Compliance & Business Optimization) appeared on Schedule A of P•••••••• S••••••• I•••
        Apr 11, 2023 · Control person joined · fact
      • P•••••••• S••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 16, 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026