DFX Intelligence

RIA Intelligence

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SEC-registered adviser

F•••••• F••••••••

Independent wealth managerOrchard Park, New YorkCRD 321609SEC 801-125815website IAPD

Legal name F•••••• F•••••••• L••

Latest filing Aug 11, 2026

First filing on the tape May 6, 2022 · 19 filings

SEC status approved since Jun 6, 2022

RAUM

$201M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$200M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$66.9M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$201M as of Aug 11, 2026

Jan 11, 2023$112M then

HNW client RAUM$126M as of Aug 11, 2026

Jan 11, 2023$34.0M then

State-registered IARs (5.B.3)3 as of Aug 11, 2026

Jan 11, 20232 then

Employees (5.A)3 as of Aug 11, 2026

Jan 11, 20232 then

Private funds: no history

RAUM +17% over the last fiscal year+21% a year over threeIARs 2 to 3

Practice profile

derived from the filing of Aug 11, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $66.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 78derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $846,528derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -18%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $7.8M, 4 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$126M63%
Individuals$74.2M37%
Charitable organizations$530,8340.3%

Individual clients: 189reported
HNW clients: 44reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 237reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $7.8M for 4 clientsreported
Compensation: % of AUMreported
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
N••• J••••• F••••••	Orchard Park, Ny	Jul 15, 2022	31 y	2
N••• V•••••• F••••••	Orchard Park, Ny	Sep 16, 2022	14 y	0
A•••• C•••••••	Orchard Park, Ny	Sep 1, 2026	13 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

N••• J••••• F•••••• from A•••• P•••• A•••••••
Jul 15, 2022 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••• N•••• J••••• · Presidentcontrol
since 07/2014 · owns 75% or more
F••••••• N•••• V•••••• · Vice President And Chief Compliance Officercontrol
since 06/2022 · 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
Orchard Park, Ny · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Feb 3, 2026
accounts (Item 5.F.2.f) moved from 541.0 to 237.0 (-56.0%) between the annual amendments of 2025-02-13 and 2026-02-03; the peer median change was +5.0% (3685 comparable advisers, 2.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 2.5% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 2 to 3
Feb 3, 2026 to Jun 2, 2026
Employees · 2 to 3
Feb 3, 2026 to Jun 2, 2026
State-registered IARs · 2 to 3
Feb 3, 2026 to Jun 2, 2026
Accounts · 541 to 237
Feb 13, 2025 to Feb 3, 2026
HNW clients · 45 to 44
Feb 13, 2025 to Feb 3, 2026
Individual clients · 239 to 189
Feb 13, 2025 to Feb 3, 2026
Discretionary RAUM · $172M to $201M
Feb 13, 2025 to Feb 3, 2026
HNW RAUM · $100M to $126M
Feb 13, 2025 to Feb 3, 2026
Individual RAUM · $71.9M to $74.2M
Feb 13, 2025 to Feb 3, 2026
RAUM · $172M to $201M
Feb 13, 2025 to Feb 3, 2026
Accounts · 340 to 541
Oct 29, 2024 to Feb 13, 2025
HNW clients · 24 to 45
Oct 29, 2024 to Feb 13, 2025
Individual clients · 316 to 239
Oct 29, 2024 to Feb 13, 2025
Assets in custody · $4.1M to $7.8M
Oct 29, 2024 to Feb 13, 2025
Financial planning clients · 101-250 to 101-250
Oct 29, 2024 to Feb 13, 2025
Discretionary RAUM · $142M to $172M
Oct 29, 2024 to Feb 13, 2025
HNW RAUM · $67.7M to $100M
Oct 29, 2024 to Feb 13, 2025
Individual RAUM · $74.3M to $71.9M
Oct 29, 2024 to Feb 13, 2025
RAUM · $142M to $172M
Oct 29, 2024 to Feb 13, 2025
Assets in custody · unset to 4115907.0
Jul 11, 2024 to Jul 18, 2024
Custody of client assets · false to true
Jul 11, 2024 to Jul 18, 2024
Accounts · 446 to 340
Jan 2, 2024 to Jan 15, 2024
HNW clients · 10 to 24
Jan 2, 2024 to Jan 15, 2024
Individual clients · 256 to 316
Jan 2, 2024 to Jan 15, 2024
Financial planning clients · 0 to 101-250
Jan 2, 2024 to Jan 15, 2024
Discretionary RAUM · $112M to $142M
Jan 2, 2024 to Jan 15, 2024
HNW RAUM · $34.0M to $67.7M
Jan 2, 2024 to Jan 15, 2024
Individual RAUM · $78.0M to $74.3M
Jan 2, 2024 to Jan 15, 2024
RAUM · $112M to $142M
Jan 2, 2024 to Jan 15, 2024
Accounts · 430 to 446
Sep 14, 2022 to Jan 11, 2023
Advisory employees · 1 to 2
Sep 14, 2022 to Jan 11, 2023
Individual clients · 190 to 256
Sep 14, 2022 to Jan 11, 2023
State-registered IARs · 1 to 2
Sep 14, 2022 to Jan 11, 2023
Discretionary RAUM · $114M to $112M
Sep 14, 2022 to Jan 11, 2023
HNW RAUM · $34.4M to $34.0M
Sep 14, 2022 to Jan 11, 2023
Individual RAUM · $79.6M to $78.0M
Sep 14, 2022 to Jan 11, 2023
RAUM · $114M to $112M
Sep 14, 2022 to Jan 11, 2023
Accounts · 0 to 430
Jul 15, 2022 to Sep 13, 2022
HNW clients · unset to 10.0
Jul 15, 2022 to Sep 13, 2022
Individual clients · unset to 190.0
Jul 15, 2022 to Sep 13, 2022

Signals

2 dated events

Vincent Neil Farrell (Vice President And Chief Compliance Officer) appeared on Schedule A of F•••••• F••••••••
Jul 15, 2022 · Control person joined · fact
F•••••• F•••••••• filed its initial SEC registration (Form ADV)
May 6, 2022 · 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

Firm profile: linkedin.com/company/farrell-financial-llc/aboutreportedpublic record, Form ADV, Sep 21, 2026
Website: f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 716-508-8504reportedpublic record, Form ADV, Aug 11, 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: $66.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026