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
B•••••• W••••• A•••••••
Legal name B•••••• W••••• A••••••• I••
Latest filing Mar 9, 2026
First filing on the tape Jun 13, 2024 · 9 filings
SEC status approved since Jul 12, 2024
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$107M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$110M as of Mar 9, 2026
Jan 24, 2025$92.5M then
HNW client RAUM$57.5M as of Mar 9, 2026
Jan 24, 2025$55.0M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Jan 24, 20252 then
Employees (5.A)2 as of Mar 9, 2026
Jan 24, 20252 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $55.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $199,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$57.5M52%
- Individuals$49.5M45%
- Pension and profit-sharing plans$3.1M2.8%
- Individual clients
- 195reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 552reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D••••• W•••••Certified Financial Planner | Williamsville, Ny | Oct 11, 2024 | 20 y | 3 |
| G••••• P•••• H•••••Certified Financial Planner | Williamsville, Ny | Oct 11, 2024 | 32 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G••••• P•••• H••••• from C•••••• A•••••••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• D••••• W••••• from C•••••• A•••••••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• A•••••••Aug 27, 2024 · Getzville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• G•••••• P•••• · Principal Owner And Iarcontrolsince 06/2024 · owns 50% to 75%
- W•••••• S•••••• D••••• · Chief Compliance Officercontrolsince 06/2024 · owns 25% to 50%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 547 to 552Sep 3, 2025 to Feb 25, 2026
- HNW clients · 38 to 23Sep 3, 2025 to Feb 25, 2026
- Individual clients · 201 to 195Sep 3, 2025 to Feb 25, 2026
- Financial planning clients · 11-25 to 101-250Sep 3, 2025 to Feb 25, 2026
- Discretionary RAUM · $92.5M to $110MSep 3, 2025 to Feb 25, 2026
- HNW RAUM · $55.0M to $57.5MSep 3, 2025 to Feb 25, 2026
- Individual RAUM · $33.0M to $49.5MSep 3, 2025 to Feb 25, 2026
- Pension RAUM · $4.5M to $3.1MSep 3, 2025 to Feb 25, 2026
- RAUM · $92.5M to $110MSep 3, 2025 to Feb 25, 2026
- Accounts · 251 to 547Oct 28, 2024 to Jan 24, 2025
- HNW clients · 30 to 38Oct 28, 2024 to Jan 24, 2025
- Individual clients · 32 to 201Oct 28, 2024 to Jan 24, 2025
- Financial planning clients · 0 to 11-25Oct 28, 2024 to Jan 24, 2025
- Discretionary RAUM · $74.0M to $92.5MOct 28, 2024 to Jan 24, 2025
- HNW RAUM · $50.0M to $55.0MOct 28, 2024 to Jan 24, 2025
- Individual RAUM · $24.0M to $33.0MOct 28, 2024 to Jan 24, 2025
- Pension RAUM · unset to 4500000.0Oct 28, 2024 to Jan 24, 2025
- RAUM · $74.0M to $92.5MOct 28, 2024 to Jan 24, 2025
- Accounts · 0 to 251Aug 26, 2024 to Oct 10, 2024
- HNW clients · unset to 30.0Aug 26, 2024 to Oct 10, 2024
- Individual clients · unset to 32.0Aug 26, 2024 to Oct 10, 2024
- Discretionary RAUM · $0 to $74.0MAug 26, 2024 to Oct 10, 2024
- HNW RAUM · unset to 50000000.0Aug 26, 2024 to Oct 10, 2024
- Individual RAUM · unset to 24000000.0Aug 26, 2024 to Oct 10, 2024
- RAUM · $0 to $74.0MAug 26, 2024 to Oct 10, 2024
Signals
2 dated events
- 2 advisors left C•••••• A••••••• (Getzville, NY) for B•••••• W••••• A••••••• on the same dayAug 27, 2024 · Team lift-out · derived
- B•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 13, 2024 · 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 phone
- 716-580-1500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-837-3335reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- benthamwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (716) 580-1500reportedpublic record, Form ADV, Mar 9, 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
- $55.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026