AdvisorCensus / Financial advisors / New York / Buffalo / Western New York Financial Group, LLC
Western New York Financial Group, LLC
Filed as WESTERN NEW YORK FINANCIAL GROUP, LLC
Western New York Financial Group, LLC is an SEC-registered investment advisory firm in Buffalo, NY, registered since 2019, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is Western New York Financial Group, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Western New York Financial Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Western New York Financial Group, LLC located?
Western New York Financial Group, LLC's principal office is in Buffalo, NY, according to its Form ADV.
Is Western New York Financial Group, LLC registered with the SEC or a state?
Western New York Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 306083.
How much does Western New York Financial Group, LLC manage?
Western New York Financial Group, LLC reports $84,133,024 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (70% discretionary).
How have Western New York Financial Group, LLC's assets and staff changed since 2021?
In the Form ADV data for Western New York Financial Group, LLC: Regulatory assets under management: $64,807,724 in the October 2021 data and $84,133,024 in the October 2026 data, up 30%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Western New York Financial Group, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (199); pension and profit sharing plans (but not the plan participants or government pension plans) (6); banking or thrift institutions (1).
Which custodians does Western New York Financial Group, LLC use?
Western New York Financial Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.
Does Western New York Financial Group, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/306083
Does Western New York Financial Group, LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 30, 2026 says: "We require a minimum account size of $500,000 which may be waivable at our discretion."
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $500,000 (the brochure says it may be waived or negotiated)
The brochure's wording
We require a minimum account size of $500,000 which may be waivable at our discretion.
As stated in the firm's Form ADV Part 2A brochure dated March 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$84,133,024 as of October 2026, filing dated March 31, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2019 (6 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $84,133,024 | 2 | March 31, 2026 |
| October 2025 | $80,572,019 | 2 | March 19, 2025 |
| October 2024 | $73,666,167 | 2 | March 27, 2024 |
| October 2023 | $65,347,706 | 2 | March 24, 2023 |
| October 2022 | $72,691,522 | 2 | September 19, 2022 |
| October 2021 | $64,807,724 | 2 | April 21, 2021 |
Regulatory assets under management: $64,807,724 in the October 2021 data and $84,133,024 in the October 2026 data, up 30%.
Total employees: 2 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Western New York Financial Group, LLC (CRD 306083): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/western-new-york-financial-group-llc-buffalo-ny-306083