DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T••••• W••••• A•••••••• I•••

Independent wealth managerBuffalo, New YorkCRD 3618SEC 801-70259website IAPD

Latest filing Mar 17, 2026

First filing on the tape Mar 30, 2012 · 40 filings

SEC status approved since Jun 11, 2009

RAUM

$911M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

92%

$835M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$70.1M

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

40 filings and snapshots on the tape

RAUM$911M as of Mar 17, 2026

Mar 30, 2012$91.2M then

HNW client RAUM$628M as of Mar 17, 2026

Mar 27, 2018$165M then

State-registered IARs (5.B.3)14 as of Mar 17, 2026

Mar 30, 20120 then

Employees (5.A)17 as of Mar 17, 2026

Feb 27, 201319 then

Private funds: no history

RAUM +26% over the last fiscal year+19% a year over threeIARs 15 to 14

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
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: $70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 53derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.8MderivedHNW RAUM over HNW clients
Average account: $661,939derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 13.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: -6.7%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.2%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $724M, 686 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$628M69%
Individuals$206M23%
Charitable organizations$41.4M4.5%
Corporations and businesses$23.0M2.5%
Pension and profit-sharing plans$12.4M1.4%

Individual clients: 520reported
HNW clients: 166reported
Pension plan clients: 9reported
Charitable clients: 31reported
Accounts: 1,377reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $724M for 686 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=16.0derived

Advisors registered through the firm

13 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T••••• R•••••• T•••Certified Financial Planner	Buffalo, Ny	Dec 24, 2014	44 y	0
J••• D•••• S••••Certified Financial Planner, Chartered Financial Analyst	Buffalo, Ny	May 16, 2019	11 y	0
M•••••• D•••••••••	Buffalo, Ny	May 29, 2019	14 y	0
A••• J••••••• E•••••••	Buffalo, Ny	May 29, 2019	12 y	0
C•••••• E••••• G•••	Buffalo, Ny	Oct 2, 2019	33 y	0
H••••••• M•••••• S••••••••	Buffalo, Ny	Sep 9, 2020	14 y	2
N••••••• V•••••••Certified Financial Planner	Buffalo, Ny	Mar 9, 2021	36 y	0
J•••••• A•••• B••••	Buffalo, Ny	Mar 20, 2021	42 y	0
M•••••• F••••• S•••••	Buffalo, Ny	Mar 20, 2021	39 y	0
W•••••• R••••• P•••••	Buffalo, Ny	Mar 20, 2021	40 y	0
T••••• G••••• V••••••	Buffalo, Ny	Mar 25, 2021	43 y	0
N••••••• A•••••••• I•••••	Buffalo, Ny	Apr 8, 2021	20 y	1
J••• M•••••• M••••••	Buffalo, Ny	Jul 12, 2023	14 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

N••••• T•••• S•••••••• to H••• S••••••••• •••• I•••
Nov 15, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

N••••• T•••• S•••••••• from L•• F•••••••• L••
Aug 17, 2021 · Affiliated broker-dealer or bank to independent RIA
N••••••• A•••••••• I••••• from E•••••••• A•••••••• L••
Apr 8, 2021 · Affiliated broker-dealer or bank to independent RIA
H••••••• M•••••• S•••••••• from M•• S••••••••• I•••
Sep 9, 2020 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• J•••••• A•••• · Vice President, Srop, Cropcontrol
since 12/1991 · owns 5% to 10%
G•••• C•••••• E••••• · Vice Presidentcontrol
since 04/2009 · owns 10% to 25%
P•••••• W•••••• R••••• · Vice Presidentcontrol
since 01/1998 · owns 10% to 25%
S•••••• M•••••• F••••• · Vice Presidentcontrol
since 01/1998 · owns less than 5%
S••••• J••• D•••• · President, Branch Manager, & Ceocontrol
since 07/2022 · owns 10% to 25%
T•••• T••••• R•••••• · Vice Presidentcontrol
since 10/2009 · owns 10% to 25%
R••••••••• P••••••• E•••• · Chief Compliance Officer
since 09/2023 · owns less than 5%
S••••••••• H••••••• M•••••• · Finop And Cfo
since 03/2024 · owns less than 5%
V•••••••• N••••••• · Vice President
since 02/2023 · owns 5% to 10%

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
Buffalo, Ny · principal	13	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1,265 to 1,377
Aug 1, 2025 to Mar 17, 2026
Advisory employees · 15 to 14
Aug 1, 2025 to Mar 17, 2026
Charity clients · 30 to 31
Aug 1, 2025 to Mar 17, 2026
Corporate clients · 7 to 8
Aug 1, 2025 to Mar 17, 2026
HNW clients · 145 to 166
Aug 1, 2025 to Mar 17, 2026
Individual clients · 495 to 520
Aug 1, 2025 to Mar 17, 2026
State-registered IARs · 15 to 14
Aug 1, 2025 to Mar 17, 2026
Discretionary RAUM · $618M to $792M
Aug 1, 2025 to Mar 17, 2026
HNW RAUM · $464M to $628M
Aug 1, 2025 to Mar 17, 2026
Individual RAUM · $191M to $206M
Aug 1, 2025 to Mar 17, 2026
Non-discretionary RAUM · $106M to $120M
Aug 1, 2025 to Mar 17, 2026
Pension RAUM · $11.7M to $12.4M
Aug 1, 2025 to Mar 17, 2026
RAUM · $724M to $911M
Aug 1, 2025 to Mar 17, 2026
Financial planning clients · 0 to 0
Jul 28, 2025 to Aug 1, 2025
Accounts · 1,149 to 1,265
Mar 27, 2024 to Mar 19, 2025
Charity clients · 27 to 30
Mar 27, 2024 to Mar 19, 2025
HNW clients · 135 to 145
Mar 27, 2024 to Mar 19, 2025
Individual clients · 506 to 495
Mar 27, 2024 to Mar 19, 2025
Assets in custody · $617M to $724M
Mar 27, 2024 to Mar 19, 2025
Discretionary RAUM · $516M to $618M
Mar 27, 2024 to Mar 19, 2025
HNW RAUM · $375M to $464M
Mar 27, 2024 to Mar 19, 2025
Individual RAUM · $180M to $191M
Mar 27, 2024 to Mar 19, 2025
Non-discretionary RAUM · $101M to $106M
Mar 27, 2024 to Mar 19, 2025
Pension RAUM · $11.4M to $11.7M
Mar 27, 2024 to Mar 19, 2025
RAUM · $617M to $724M
Mar 27, 2024 to Mar 19, 2025
BD registered reps · 17 to 16
Sep 5, 2023 to Mar 27, 2024
Accounts · 1,100 to 1,149
Sep 5, 2023 to Mar 27, 2024
Charity clients · 20 to 27
Sep 5, 2023 to Mar 27, 2024
Corporate clients · 6 to 7
Sep 5, 2023 to Mar 27, 2024
HNW clients · 205 to 135
Sep 5, 2023 to Mar 27, 2024
Individual clients · 428 to 506
Sep 5, 2023 to Mar 27, 2024
Pension plan clients · 6 to 9
Sep 5, 2023 to Mar 27, 2024
Assets in custody · $599M to $617M
Sep 5, 2023 to Mar 27, 2024
Employees · 18 to 17
Sep 5, 2023 to Mar 27, 2024
Discretionary RAUM · $453M to $516M
Sep 5, 2023 to Mar 27, 2024
HNW RAUM · $319M to $375M
Sep 5, 2023 to Mar 27, 2024
Individual RAUM · $161M to $180M
Sep 5, 2023 to Mar 27, 2024
Non-discretionary RAUM · $84.1M to $101M
Sep 5, 2023 to Mar 27, 2024
Pension RAUM · $10.0M to $11.4M
Sep 5, 2023 to Mar 27, 2024
RAUM · $537M to $617M
Sep 5, 2023 to Mar 27, 2024

Signals

4 dated events

T••••• W••••• A•••••••• I••• reported RAUM $911.5M, up 26% from $724.2M (2025-08-01 to 2026-03-17)
Mar 17, 2026 · RAUM change · derived
Anthony Frank Frandina (Vice President / Secretary - Treasurer) no longer on Schedule A of T••••• W••••• A•••••••• I••• (listed 2023-01-03, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
N••••• T•••• S•••••••• left T••••• W••••• A•••••••• I••• for H••• S••••••••• •••• I••• (registered 2022-11-17)
Nov 15, 2022 · Advisor changed firm · fact
T••••• W••••• A•••••••• I••• reported RAUM $598.5M, up 42% from $421.9M (2021-12-16 to 2022-03-29)
Mar 29, 2022 · RAUM change · 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

Business phone: 716-849-0144reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 716-849-1401reportedpublished by the firm, firm site, Sep 15, 2026
Website: t•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 716-849-1401reportedpublic record, Form ADV, Mar 17, 2026
Team page: t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $70.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026