DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

O• A•••• M••••••••• L••

Independent wealth managerSEC-registered2 private funds· Fairport, New Yorkwebsite

Independent wealth manager, based in Fairport, New York, reporting $76.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$76.2M
Advisors
0
Private clients
70%
of RAUM, $53.2M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    O•••••••• H••••••• L•• appeared on Schedule A as an owner on 31 Mar 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 336682 · SEC 801-133704 · 3 filingsShow
CRD 336682SEC 801-133704First filing on the tape May 27, 2025, latest Mar 31, 2026SEC status approved since Jun 20, 2025IAPD
RAUM
$76.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$53.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts May 27, 2025

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$76.2M as of Mar 31, 2026
May 27, 2025$16.0M then
HNW client RAUM$53.2M as of Mar 31, 2026
Oct 17, 2025$52.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
May 27, 20250 then
Employees (5.A)11 as of Mar 31, 2026
May 27, 202510 then
Private funds2 as of Mar 31, 2026
May 27, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$25.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$16.5M, 1 clientreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

70% high-net-worth individuals, 30% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$53.2M70%
  • Pooled investment vehicles$23.0M30%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$16.5M for 1 clientreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 70% private clients, 30% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• S••• F••• L••Hedge Fund$16.5M17Mar 31, 2026
      S•••••••• I•••••••• S•••••••• I•• L••• S••••• F• D•••• F••• S••• I•••••••• D•••••••• F•••Hedge Fund$6.5M5Mar 31, 2026
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••••• C••••••••• C••••••• · Cco And Ceocontrol
        since 05/2019 · owns less than 5%
      Entity owners
      • O•••••••• H••••••• L•• · Sole Member
        direct · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 11
        Oct 17, 2025 to Mar 31, 2026
      • Assets in custody · $21.6M to $16.5M
        Oct 17, 2025 to Mar 31, 2026
      • Employees · 10 to 11
        Oct 17, 2025 to Mar 31, 2026
      • Discretionary RAUM · $73.9M to $76.2M
        Oct 17, 2025 to Mar 31, 2026
      • HNW RAUM · $52.3M to $53.2M
        Oct 17, 2025 to Mar 31, 2026
      Full history · 14 changes
      • Pooled vehicle RAUM · $21.6M to $23.0M
        Oct 17, 2025 to Mar 31, 2026
      • RAUM · $73.9M to $76.2M
        Oct 17, 2025 to Mar 31, 2026
      • Accounts · 2 to 3
        May 27, 2025 to Oct 17, 2025
      • Advisory activities · 1 to 2
        May 27, 2025 to Oct 17, 2025
      • Assets in custody · $16.0M to $21.6M
        May 27, 2025 to Oct 17, 2025
      • Discretionary RAUM · $16.0M to $73.9M
        May 27, 2025 to Oct 17, 2025
      • HNW RAUM · unset to 52345727.0
        May 27, 2025 to Oct 17, 2025
      • Pooled vehicle RAUM · $16.0M to $21.6M
        May 27, 2025 to Oct 17, 2025
      • RAUM · $16.0M to $73.9M
        May 27, 2025 to Oct 17, 2025
      Signals
      3 dated events
      • ••• Locked
        Mar 31, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 31, 2026 · private fund first reported · fact
      • ••• Locked
        May 27, 2025 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.