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

M•• A••••••• G•••• L••

Independent wealth managerLiverpool, New YorkCRD 335595SEC 801-134410IAPD
Latest filing Jan 20, 2026
First filing on the tape Nov 11, 2025 · 3 filings
SEC status approved since Sep 22, 2025
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$115M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$116M as of Jan 20, 2026
Nov 11, 2025$0 then
HNW client RAUM: $36.0M
State-registered IARs (5.B.3)2 as of Jan 20, 2026
Nov 11, 20252 then
Employees (5.A)3 as of Jan 20, 2026
Nov 11, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$58.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$648,486derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
$8.7M, 28 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$79.1M68%
  • High-net-worth individuals$36.0M31%
  • Corporations and businesses$1.0M0.9%
Individual clients
154reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
179reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$8.7M for 28 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• D••••• M••••••Liverpool, NyOct 21, 202516 y1
M••• J••••••• M••••••Liverpool, NyOct 21, 202543 y2
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• J•••• D••••• · Chief Operations Officer And Chief Financial Officercontrol
        since 03/2025 · owns less than 5%
      • M••••••• M•••• J••••••• · Managing Membercontrol
        since 10/2024 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Liverpool, Ny · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Jan 20, 2026
        custody of client assets (Item 9.A): no on the filing of 2025-12-18, yes on the filing of 2026-01-20
        peers: independent wealth managers, $100M to $500M (5,676)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 179
        Dec 18, 2025 to Jan 20, 2026
      • HNW clients · unset to 23.0
        Dec 18, 2025 to Jan 20, 2026
      • Individual clients · unset to 154.0
        Dec 18, 2025 to Jan 20, 2026
      • Assets in custody · unset to 8692686.0
        Dec 18, 2025 to Jan 20, 2026
      • Custody of client assets · false to true
        Dec 18, 2025 to Jan 20, 2026
      • Discretionary RAUM · $0 to $116M
        Dec 18, 2025 to Jan 20, 2026
      • HNW RAUM · unset to 35956385.0
        Dec 18, 2025 to Jan 20, 2026
      • Individual RAUM · unset to 79118088.0
        Dec 18, 2025 to Jan 20, 2026
      • RAUM · $0 to $116M
        Dec 18, 2025 to Jan 20, 2026
      Signals
      1 dated events
      • 2 advisors left I•• F•••••••• S•••••••• I•• (Liverpool, NY) for M•• A••••••• G•••• L•• on the same day
        Dec 19, 2025 · Team lift-out · derived
      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
      Principal office phone
      315-461-0414reportedpublic record, Form ADV, Jan 20, 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
      $58.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026