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
Q••••••••• C••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Nov 1, 2022 · 10 filings
SEC status approved since Oct 31, 2022
RAUM
$79.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$79.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$26.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$79.1M as of Apr 9, 2026
May 31, 2023$50.8M then
HNW client RAUM$48.8M as of Apr 9, 2026
May 31, 2023$18.8M then
State-registered IARs (5.B.3)3 as of Apr 9, 2026
May 31, 20232 then
Employees (5.A)3 as of Apr 9, 2026
May 31, 20232 then
Private funds: no history
RAUM +5.1% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 9, 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
- $26.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $577,414derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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
- High-net-worth individuals$48.8M62%
- Individuals$30.3M38%
- Individual clients
- 50reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 137reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| D••••• N••••• M••••• | Pittsford, Ny | Dec 7, 2022 | 19 y | 1 |
| K•••• A••••• M•••• | Pittsford, Ny | Jan 4, 2023 | 38 y | 0 |
| F••••••••• M••••• | Pittsford, Ny | May 31, 2023 | 19 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
- D••••• N••••• M••••• from N•••• C••••••• L••Dec 7, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D•••••• N••••• · Chief Compliance Officercontrolsince 01/2023 · owns 75% or more
Entity owners
- L••••••• L•• · Holding Companydirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 148 to 137Jan 24, 2025 to Feb 24, 2026
- Discretionary RAUM · $75.3M to $79.1MJan 24, 2025 to Feb 24, 2026
- HNW RAUM · $44.9M to $48.8MJan 24, 2025 to Feb 24, 2026
- Individual RAUM · $30.4M to $30.3MJan 24, 2025 to Feb 24, 2026
- RAUM · $75.3M to $79.1MJan 24, 2025 to Feb 24, 2026
- Accounts · 129 to 148Feb 16, 2024 to Jan 24, 2025
- HNW clients · 4 to 8Feb 16, 2024 to Jan 24, 2025
- Individual clients · 51 to 50Feb 16, 2024 to Jan 24, 2025
- Financial planning clients · 1-10 to 1-10Feb 16, 2024 to Jan 24, 2025
- Discretionary RAUM · $70.6M to $75.3MFeb 16, 2024 to Jan 24, 2025
- HNW RAUM · $35.8M to $44.9MFeb 16, 2024 to Jan 24, 2025
- Individual RAUM · $34.8M to $30.4MFeb 16, 2024 to Jan 24, 2025
- RAUM · $70.6M to $75.3MFeb 16, 2024 to Jan 24, 2025
- Accounts · 52 to 129Jul 27, 2023 to Feb 16, 2024
- Advisory employees · 2 to 3Jul 27, 2023 to Feb 16, 2024
- HNW clients · 3 to 4Jul 27, 2023 to Feb 16, 2024
- Individual clients · 48 to 51Jul 27, 2023 to Feb 16, 2024
- Pension plan clients · 1.0 to unsetJul 27, 2023 to Feb 16, 2024
- Employees · 2 to 3Jul 27, 2023 to Feb 16, 2024
- State-registered IARs · 2 to 3Jul 27, 2023 to Feb 16, 2024
- Discretionary RAUM · $50.8M to $70.6MJul 27, 2023 to Feb 16, 2024
- HNW RAUM · $18.8M to $35.8MJul 27, 2023 to Feb 16, 2024
- Individual RAUM · $31.8M to $34.8MJul 27, 2023 to Feb 16, 2024
- Pension RAUM · 261452.0 to unsetJul 27, 2023 to Feb 16, 2024
- RAUM · $50.8M to $70.6MJul 27, 2023 to Feb 16, 2024
- Succession · true to falseMay 31, 2023 to Jun 5, 2023
- Succession · false to trueFeb 8, 2023 to May 31, 2023
- Accounts · 0 to 52Nov 15, 2022 to Feb 8, 2023
- HNW clients · unset to 3.0Nov 15, 2022 to Feb 8, 2023
- Individual clients · unset to 48.0Nov 15, 2022 to Feb 8, 2023
- Pension plan clients · unset to 1.0Nov 15, 2022 to Feb 8, 2023
- Discretionary RAUM · $0 to $50.8MNov 15, 2022 to Feb 8, 2023
- HNW RAUM · unset to 18810031.0Nov 15, 2022 to Feb 8, 2023
- Individual RAUM · unset to 31753566.0Nov 15, 2022 to Feb 8, 2023
- Pension RAUM · unset to 261452.0Nov 15, 2022 to Feb 8, 2023
- RAUM · $0 to $50.8MNov 15, 2022 to Feb 8, 2023
- Succession · true to falseNov 1, 2022 to Nov 15, 2022
Signals
2 dated events
- Q••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 2022 · First SEC registration · fact
- Q••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 1, 2022 · Succession (Item 4) · 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
- d••@q•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-348-9585reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- q•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-348-9585reportedpublic record, Form ADV, Apr 9, 2026
- Contact form
- q•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $26.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026