DFX Intelligence

S•••••••• F•••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••••••• F•••••••• A•••••••• L••

CRD 146040

GUILFORD, CT

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Search this name across graphsid dfx:ria:13c77a15-6874-97f6-2847-b2149fbf0813

Data as of Jun 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Apr 3, 2012 to Jun 29, 2022
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $223M••• Locked
Discretionary RAUM: $212M
Private client RAUM: $211Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• B••••••• T•••••	MANAGING MEMBER / PRINCIPAL / CHIEF COMPLIANCE OFFICER	D	yes	07/1996	Apr 3, 2012	Jun 29, 2022
S••••• P••••••• M•••••	MANAGING MEMBER / PRINCIPAL	D	yes	02/2001	Apr 3, 2012	Jun 29, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$223M	$195M	14.6%	$158M	12.1%	4	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••••• W••••• A•••••••	2	Mar 16, 2023	Feb 2, 2023	GUILFORD, CT	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← S••••• P••••••• M•••••OwnerMANAGING MEMBER / PRINCIPAL, ownership code D, individual
Apr 3, 2012 to presentfactForm ADV
← S••••• B••••••• T•••••OwnerMANAGING MEMBER / PRINCIPAL / CHIEF COMPLIANCE OFFICER, ownership code D, individual
Apr 3, 2012 to presentfactForm ADV

Registered with (4)

← P•••••• M••••• S••••Advisorregistration: previous registration
Nov 13, 2009 to Mar 16, 2023factForm ADV
← B•••••• T••••• S••••

Dated events

Occurred
Mar 16, 2023
Team lift-out
2 advisors left S•••••••• F•••••••• A•••••••• L•• (Guilford, CT) for E••••••• W••••• A••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Mar 16, 2023
Advisor changed firm
Brendan Thomas Smith left S•••••••• F•••••••• A•••••••• L•• for E••••••• W••••• A••••••• (registered 2023-01-18)
Form ADVobserved 7 days ago
Occurred
Mar 16, 2023
Advisor changed firm
Patrick Mcleod Smith left S•••••••• F•••••••• A•••••••• L•• for E••••••• W••••• A••••••• (registered 2023-02-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13c77a15-6874-97f6-2847-b2149fbf0813
First observed: Apr 3, 2012
Last observed: Jun 29, 2022 51 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.