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
T•• P•••• G•••• W••••• M••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Jun 1, 2021 · 21 filings
SEC status approved since Jul 1, 2021
RAUM
$374M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
79%
$294M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$93.6M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$374M as of Jun 15, 2026
Jan 28, 2022$290M then
HNW client RAUM$165M as of Jun 15, 2026
Jan 28, 2022$90.0M then
State-registered IARs (5.B.3)4 as of Jun 15, 2026
Jan 28, 20224 then
Employees (5.A)6 as of Jun 15, 2026
Jan 28, 20226 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 15, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $93.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $283,571derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 21%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $374MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$165M44%
- Individuals$130M35%
- Pension and profit-sharing plans$80.0M21%
- Individual clients
- 493reported
- HNW clients
- 75reported
- Pension plan clients
- 33reported
- Charitable clients
- n/areported
- Accounts
- 1,320reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 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 |
|---|---|---|---|---|
| S•••••••• J••••• P••••Certified Financial Planner | Victor, Ny | Aug 18, 2021 | 31 y | 3 |
| M•••••• S•••••••• P•••• | Victor, Ny | Aug 24, 2021 | 19 y | 4 |
| A•••••• S•••••••• P•••• | Victor, Ny | Oct 10, 2021 | 10 y | 1 |
| S••• H••••• | Victor, Ny | May 16, 2025 | 10 y | 3 |
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 headcount1 left over 36 months
Left, latest
- A••••• A•••••• C••••••• to L•• F•••••••• L••Mar 13, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••• H••••• from V••••••••• A••••••• S•••••••May 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• S•••••••• P•••• from W•••• F•••• A•••••••Oct 10, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• S•••••••• P•••• from W•••• F•••• A•••••••Aug 24, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••••••• J••••• P•••• from W•••• F•••• A•••••••Aug 18, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• A•••••• C••••••• from W•••• F•••• A•••••••Aug 18, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••Oct 4, 2021 · Victor, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• M••••••• S•••••••• · Member / Senior Vice Presidentcontrolsince 05/2021 · owns 25% to 50%
- P••••• S••••••••• J••••• · Managing Member / President And Chief Compliance Officercontrolsince 05/2021 · 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 |
|---|---|---|---|---|---|
| Victor, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,298 to 1,320Jan 12, 2026 to Mar 26, 2026
- HNW clients · 71 to 75Jan 12, 2026 to Mar 26, 2026
- Individual clients · 479 to 493Jan 12, 2026 to Mar 26, 2026
- Employees · 5 to 6Jan 12, 2026 to Mar 26, 2026
- Discretionary RAUM · $242M to $263MJan 12, 2026 to Mar 26, 2026
- HNW RAUM · $154M to $165MJan 12, 2026 to Mar 26, 2026
- Individual RAUM · $114M to $130MJan 12, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $96.1M to $111MJan 12, 2026 to Mar 26, 2026
- Pension RAUM · $70.4M to $80.0MJan 12, 2026 to Mar 26, 2026
- RAUM · $338M to $374MJan 12, 2026 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Feb 11, 2025 to May 21, 2025
- Accounts · 1,206 to 1,298Aug 15, 2024 to Feb 11, 2025
- Corporate clients · 5.0 to unsetAug 15, 2024 to Feb 11, 2025
- HNW clients · 41 to 71Aug 15, 2024 to Feb 11, 2025
- Individual clients · 450 to 479Aug 15, 2024 to Feb 11, 2025
- Pension plan clients · 32 to 33Aug 15, 2024 to Feb 11, 2025
- Discretionary RAUM · $201M to $242MAug 15, 2024 to Feb 11, 2025
- HNW RAUM · $120M to $154MAug 15, 2024 to Feb 11, 2025
- Individual RAUM · $106M to $114MAug 15, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $87.4M to $96.1MAug 15, 2024 to Feb 11, 2025
- Pension RAUM · $61.1M to $70.4MAug 15, 2024 to Feb 11, 2025
- RAUM · $289M to $338MAug 15, 2024 to Feb 11, 2025
- Accounts · 1,165 to 1,206Mar 16, 2023 to Mar 1, 2024
- Corporate clients · unset to 5.0Mar 16, 2023 to Mar 1, 2024
- HNW clients · 20 to 41Mar 16, 2023 to Mar 1, 2024
- Individual clients · 400 to 450Mar 16, 2023 to Mar 1, 2024
- Pension plan clients · 20 to 32Mar 16, 2023 to Mar 1, 2024
- Employees · 6 to 5Mar 16, 2023 to Mar 1, 2024
- Financial planning clients · 1-10 to 11-25Mar 16, 2023 to Mar 1, 2024
- Discretionary RAUM · $160M to $201MMar 16, 2023 to Mar 1, 2024
- HNW RAUM · $60.0M to $120MMar 16, 2023 to Mar 1, 2024
- Individual RAUM · $140M to $106MMar 16, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $100M to $87.4MMar 16, 2023 to Mar 1, 2024
- Pension RAUM · $60.0M to $61.1MMar 16, 2023 to Mar 1, 2024
- RAUM · $260M to $289MMar 16, 2023 to Mar 1, 2024
- Accounts · 1,025 to 1,165Sep 27, 2022 to Mar 16, 2023
- HNW clients · 40 to 20Sep 27, 2022 to Mar 16, 2023
- Individual clients · 390 to 400Sep 27, 2022 to Mar 16, 2023
- Pension plan clients · 25 to 20Sep 27, 2022 to Mar 16, 2023
- Assets in custody · 100000000.0 to unsetSep 27, 2022 to Mar 16, 2023
Signals
2 dated events
- A••••• A•••••• C••••••• left T•• P•••• G•••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-02-25)Mar 13, 2025 · Advisor changed firm · fact
- T•• P•••• G•••• filed its initial SEC registration (Form ADV)Jun 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
- info@thepittigroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d.holmes@thepittigroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m.hicks@thepittigroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-337-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/the-pitti-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- thepittigroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (585) 337-4000reportedpublic record, Form ADV, Jun 15, 2026
- Contact form
- thepittigroup.com/contactreportedpublished 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
- $93.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026