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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S••••••• P•••••••

S••••••• P•••••••, LLC., CRD 120982

GLASTONBURY, CT

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Search this name across graphsid dfx:ria:14f8b61f-8a69-7f7a-a5b7-875a9c5db3c6

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 77
Dated events: 13
On other graphs: 0
Observed: Mar 14, 2012 to Feb 27, 2026
47 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: independent wealth managerderivedprivate_client_share=0.52 fund_share=0.36 institutional_share=0.1 related_bd=false related_bank=false bd_reps=7.0
Regulatory AUM: $4.7BItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.7B
Private client RAUM: $2.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 52%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 22
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• E••••• C•••••••	n/a	GLASTONBURY, CT	28	33	1	no
M••• D• N•••••	n/a	HOOVER, AL	21	24

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• L••	OWNER/ENTITY	E	yes	12/2025	Feb 27, 2026	Feb 27, 2026
C•••••••• C•••••••••	CHIEF OPERATING OFFICER	Na	yes	04/2024	Feb 27, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C••••••• L••	n/a	Independent wealth	$11B	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Hoover	Al	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
6	2	4	9.1%	2	0	0	13	6

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.7B	$5.7B	-17.3%	$6.5B	-10.1%	52	53	3	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••• W•••••	2	Jan 8, 2025	May 16, 2014	GLASTONBURY, CT	Team lift out	RIA to RIA	15.4%
A••••• W•••••	6	Feb 5, 2019

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• S••••••	2	Sep 8, 2025	Sep 11, 2025	TAMPA, FL	Team lift out	Wirehouse to RIA	0.0%

Relationships

Affiliated with (2)

← A••••• W•••••Registered adviserother investment adviser, common control
factForm ADV
→ A••••• W•••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (64)

← J•••••• B••••• B•••••Advisorregistration: current employment
Aug 19, 2026 to presentfactForm ADV
← R••• T• C••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 8, 2025
Advisor changed firm
Thomas Desiderio left S••••••• P••••••• for Clinton Investment Management, Llc (registered 2025-12-10)
Form ADVobserved 7 days ago
Occurred
Sep 8, 2025
Team lift-out
2 advisors left M••••• S•••••• (Tampa, FL) for S••••••• P••••••• within 3 days
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 27, 2025
Advisor changed firm
George Thomas Pate left S••••••• P••••••• for Alphastar Capital Management (registered 2017-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14f8b61f-8a69-7f7a-a5b7-875a9c5db3c6
First observed: Mar 14, 2012
Last observed: Feb 27, 2026 6 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.