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
C••••• L••• F•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 6, 2025 · 3 filings
SEC status approved since May 8, 2025
RAUM
$75.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$75.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$75.0M as of Mar 31, 2026
May 6, 2025$54.0M then
HNW client RAUM$50.0M as of Mar 31, 2026
May 6, 2025$8.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
May 6, 20250 then
Employees (5.A)4 as of Mar 31, 2026
May 6, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $178,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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 individualsreportedItem 5.G
- Wrap fee program
- $75.0MreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50.0M67%
- Individuals$25.0M33%
- Individual clients
- 198reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 419reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• C•••••••• K••••• | Fairport, Ny | Jun 17, 2025 | 18 y | 9 |
| K•••• G•••••• | Fairport, Ny | Jan 28, 2026 | 11 y | 2 |
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
- K•••• G•••••• from L•• F•••••••• L••Jul 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••••• C•••••••• K••••• from L•• F•••••••• L••May 29, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Fairport, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 409 to 419Jan 14, 2026 to Mar 31, 2026
- Assets in custody · 1066000.0 to unsetJan 14, 2026 to Mar 31, 2026
- Discretionary RAUM · $76.8M to $75.0MJan 14, 2026 to Mar 31, 2026
- HNW RAUM · $51.0M to $50.0MJan 14, 2026 to Mar 31, 2026
- Individual RAUM · $25.8M to $25.0MJan 14, 2026 to Mar 31, 2026
- RAUM · $76.8M to $75.0MJan 14, 2026 to Mar 31, 2026
- Accounts · 275 to 409May 6, 2025 to Jan 14, 2026
- HNW clients · 7 to 25May 6, 2025 to Jan 14, 2026
- Individual clients · 469 to 198May 6, 2025 to Jan 14, 2026
- Assets in custody · unset to 1066000.0May 6, 2025 to Jan 14, 2026
- Financial planning clients · 26-50 to 1-10May 6, 2025 to Jan 14, 2026
- Discretionary RAUM · $54.0M to $76.8MMay 6, 2025 to Jan 14, 2026
- HNW RAUM · $8.3M to $51.0MMay 6, 2025 to Jan 14, 2026
- Individual RAUM · $45.7M to $25.8MMay 6, 2025 to Jan 14, 2026
- RAUM · $54.0M to $76.8MMay 6, 2025 to Jan 14, 2026
Signals
No event on the tape.
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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- s•••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-764-2942reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 352-588-4608reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-899-3940reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-899-3940reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.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
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026