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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Former SEC-registered adviser

T•• A•••••••• I•••

Former SEC-registered adviserAmherst, New YorkCRD 43870SEC 801-72702IAPD
Latest filing Feb 21, 2018
First filing on the tape Jan 26, 2012 · 12 filings
RAUM
$283M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
17%
$48.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$283M as of Feb 21, 2018
Mar 26, 2012$135M then
HNW client RAUM: $32.3M
State-registered IARs (5.B.3)0 as of Feb 21, 2018
Mar 26, 20120 then
Employees (5.A)3 as of Feb 21, 2018
Mar 26, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2018; every figure names its basis
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
$1.5MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
58%derivedof RAUM
Institutional
83%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween 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, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
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)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$234M83%
  • High-net-worth individuals$32.3M11%
  • Individuals$15.9M5.6%
  • Charitable organizations$153,3880.1%
Individual clients
46reported
HNW clients
21reported
Pension plan clients
27reported
Charitable clients
1reported
Accounts
154reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• P••• S••••••••• · Presidentcontrol
        since 08/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list T•• A•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 148 to 154
        Mar 22, 2017 to Feb 21, 2018
      • Charity clients · unset to 1.0
        Mar 22, 2017 to Feb 21, 2018
      • Corporate clients · unset to 0.0
        Mar 22, 2017 to Feb 21, 2018
      • HNW clients · unset to 21.0
        Mar 22, 2017 to Feb 21, 2018
      • Individual clients · unset to 46.0
        Mar 22, 2017 to Feb 21, 2018
      • Pension plan clients · unset to 27.0
        Mar 22, 2017 to Feb 21, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 22, 2017 to Feb 21, 2018
      • Financial planning clients · 26-50 to 51-100
        Mar 22, 2017 to Feb 21, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Feb 21, 2018
      • Discretionary RAUM · $150M to $164M
        Mar 22, 2017 to Feb 21, 2018
      • HNW RAUM · unset to 32296633.0
        Mar 22, 2017 to Feb 21, 2018
      • Individual RAUM · unset to 15880180.0
        Mar 22, 2017 to Feb 21, 2018
      • Non-discretionary RAUM · $91.5M to $119M
        Mar 22, 2017 to Feb 21, 2018
      • Pension RAUM · unset to 234171007.0
        Mar 22, 2017 to Feb 21, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 22, 2017 to Feb 21, 2018
      • RAUM · $241M to $283M
        Mar 22, 2017 to Feb 21, 2018
      • Accounts · 132 to 148
        Mar 29, 2016 to Mar 22, 2017
      • Discretionary RAUM · $139M to $150M
        Mar 29, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $75.0M to $91.5M
        Mar 29, 2016 to Mar 22, 2017
      • RAUM · $214M to $241M
        Mar 29, 2016 to Mar 22, 2017
      • Accounts · 114 to 132
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • BD registered reps · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $134M to $139M
        Mar 30, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $66.4M to $75.0M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $200M to $214M
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 104 to 114
        Sep 2, 2014 to Mar 30, 2015
      • Financial planning clients · 11-25 to 26-50
        Sep 2, 2014 to Mar 30, 2015
      • Discretionary RAUM · $14.5M to $134M
        Sep 2, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $155M to $66.4M
        Sep 2, 2014 to Mar 30, 2015
      • RAUM · $170M to $200M
        Sep 2, 2014 to Mar 30, 2015
      • Accounts · 87 to 104
        Mar 26, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 4
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $0 to $14.5M
        Mar 26, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $118M to $155M
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $118M to $170M
        Mar 26, 2013 to Mar 31, 2014
      • Accounts · 125 to 87
        Oct 30, 2012 to Mar 26, 2013
      • BD registered reps · 5 to 4
        Oct 30, 2012 to Mar 26, 2013
      • Employees · 5 to 4
        Oct 30, 2012 to Mar 26, 2013
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026