DFX Intelligence
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Reading the graph
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P•••••• A•••••••• L••, CRD 288239
SHELTON, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C••••••••• E•••• F••••• | n/a | SHELTON, CT | 9 | 17 | 3 | yes |
| T••••• M•••••• G•••• | n/a | SHELTON, CT | Saint James, NY | 9 | 34 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| P•••••• E•••••••• I• L••• | Hedge Fund | $33.9M | Jul 28, 2026 | 51 | Mar 19, 2024 | reported | 021-525951 |
| P•••••• V•••••• I• L••• | Private Equity Fund | $9.3M | Jul 28, 2026 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F•••••• J••••••• H•••••• | EXECUTIVE MANAGING MEMBER AND CHIEF OPERATING OFFICER COMPANY) | Na | yes | 06/2017 | Jul 28, 2026 | Jul 28, 2026 |
| F••••• P•••• G••••••• | EXECUTIVE MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | Na | yes | 05/2017 | Jul 28, 2026 | Jul 28, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••••• R•••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Melville | NY | United States | 5 | no |
| Fulton | Md | United States | 2 | no |
| NEW YORK | NY | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 14 | 0 | 14 | 0.0% | 0 | 0 | 0 | 20 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $9.2B | $7.8B | 18.5% | $4.9B | 23.1% | 76 | 47 | 23 | 11 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T•••• V••• P•••••• W••••• | 5 | May 21, 2025 | Jun 3, 2025 | SHELTON, CT | Team lift out | RIA to new firm | 13.2% |
| T•••• V••• P•••••• W••••• | 2 | May 21, 2025 | Jun 5, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O••••• L••••• V••••••• I••••••••• G••••• I••• | 6 | Dec 8, 2025 | Dec 10, 2025 | FLINT, MI | Firm absorbed | RIA to RIA | 75.0% |
| B•••• T•••• W••••• M••••••••• L•• | 2 | Jul 26, 2023 |
| no |
| J•••••• H•••••• F••••• | Certified Financial Planner | LENOIR CITY, TN | SHELTON, CT | 9 | 27 | 3 | no |
| L•••• G••••• | n/a | SHELTON, CT | 9 | 25 | 4 | no |
| P••• G••••••• F•••• | n/a | SHELTON, CT | 9 | 31 | 5 | no |
| C••••••• C••••• W••••• | Certified Financial Planner | SHELTON, CT | 9 | 11 | 2 | no |
| M••• J•••• R••• | Certified Financial Planner|Chartered Financial Analyst | SHELTON, CT | 9 | 12 | 1 | no |
| A•••• N••• K••••••• | n/a | SHELTON, CT | 8 | 18 | 2 | no |
| A•••••• B•••• R•••••••• | n/a | SHELTON, CT | 8 | 25 | 3 | no |
| J•••• P•••• J•••••• | Chartered Financial Analyst | SHELTON, CT | New York, NY | 7 | 47 | 4 | no |
| R•••••• J••••• A••••••••• | n/a | SHELTON, CT | Little Falls, NJ | 6 | 22 | 1 | no |
| A••••• J• J•••• L•••• | Certified Financial Planner | SARASOTA, FL | SHELTON, CT | 6 | 28 | 1 | no |
| J••• M••••••••• | Certified Financial Planner | SHELTON, CT | Melville, NY | 5 | 29 | 1 | no |
| M•••••• E••••• K•••• | Certified Financial Planner | SHELTON, CT | Virginia Beach, VA | 5 | 27 | 5 | no |
| C••• A•• W•••••• | n/a | Melville, NY | SHELTON, CT | 5 | 26 | 3 | no |
| T•••• L•• C••••••• | Certified Financial Planner | CHESAPEAKE, VA | SHELTON, CT | 5 | 22 | 3 | no |
| J•••• P•••••• D•••• | Certified Financial Planner | Melville, NY | SHELTON, CT | 5 | 12 | 2 | no |
| M•••••• J••• D•••••• | n/a | Melville, NY | SHELTON, CT | 5 | 34 | 5 | no |
| D••••• G••• L••••• | Certified Financial Planner | Boynton Beach, FL | SHELTON, CT | Melville, NY | 5 | 33 | 3 | no |
| C•••••• K•••• C•••••• | Chartered Financial Consultant | SHELTON, CT | 5 | 41 | n/a | no |
| J••• A• V••••••••• | Certified Financial Planner | SHELTON, CT | Wantagh, NY | 4 | 18 | n/a | no |
| M•••••• L• S•••••••• | n/a | SHELTON, CT | New York, NY | 4 | 14 | n/a | no |
| R••••• S••• A•••••• | Certified Financial Planner | MELVILLE, NY | SHELTON, CT | 3 | 21 | 5 | no |
| S••••• K•••••• K••• | n/a | SHELTON, CT | FULTON, MD | 3 | 28 | 1 | no |
| T••••• S••••••••• L••••• | n/a | SHELTON, CT | 3 | 14 | n/a | yes |
| 51 |
| Aug 4, 2023 |
| reported |
| 021-492562 |
| F•••••• C••••••••• E•••• | President | Na | yes | 06/2017 | Jul 28, 2026 | Jul 28, 2026 |
| S••••••••• T•••• J•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2025 | Jul 28, 2026 | Jul 28, 2026 |
| G••••• T•••••• M•••••• | MANAGING MEMBER | Na | yes | 06/2017 | Jun 2, 2017 | Nov 19, 2024 |
| G•••••• L•••• | MANAGING MEMBER | Na | yes | 06/2017 | Jun 2, 2017 | Nov 19, 2024 |
| P•••••• P•••••••• L•• | MANAGING MEMBER (HOLDING COMPANY) | E | yes | 05/2017 | May 22, 2017 | Nov 19, 2024 |
| $9.2B |
| $3.5B |
| 76 |
| 49 |
| 23 |
| 2 |
| n/a |
| 2024 | Apr 28, 2025 | $7.8B | $2.8B | 47 | 34 | 11 | 2 | n/a |
| 2023 | Mar 19, 2024 | $6.3B | $2.1B | 41 | 34 | 5 | 2 | $32.0M |
| 2022 | Mar 21, 2023 | $4.9B | $1.2B | 37 | 29 | 6 | n/a | n/a |
| 2021 | Jan 25, 2022 | $5.3B | $1.1B | 29 | 23 | 4 | n/a | n/a |
| 2020 | Feb 12, 2021 | $1.0B | $497M | 17 | 14 | 1 | n/a | n/a |
| 2019 | Mar 13, 2020 | $814M | $403M | 15 | 12 | 1 | n/a | n/a |
| 2018 | Mar 11, 2019 | $390M | $280M | 14 | 10 | 1 | n/a | n/a |
| 2017 | Mar 16, 2018 | $250M | $150M | 16 | 12 | 0 | n/a | n/a |
| NEW YORK, NY |
| Team lift out |
| RIA to new firm |
| 5.3% |
| NEW YORK, NY |
| Team lift out |
| RIA to RIA |
| 6.9% |
| B•••• T•••• W••••• M••••••••• L•• | 2 | Jun 26, 2023 | Jun 27, 2023 | NEW YORK, NY | Team lift out | RIA to RIA | 6.1% |
| W•••• F•••• A••••••• | 2 | Nov 10, 2022 | Jan 1, 2025 | BALTIMORE, MD | Team lift out | Other | 0.0% |
| P•••••• I••••••••• P•••••••• L•• | 4 | Dec 31, 2021 | May 24, 2021 | SHELTON, CT | Team lift out | Other | 21.1% |
| P•••••• I••••••••• P•••••••• L•• | 3 | Dec 31, 2021 | Jun 1, 2021 | MELVILLE, NY | Team lift out | Other | 15.8% |
| M•• I•••••••• S•••••••• L•• | 2 | Dec 13, 2021 | Nov 30, 2021 | SHELTON, CT | Team lift out | Ibd to RIA | 0.0% |
| U•• F•••••••• S••••••• I••• | 3 | Jun 28, 2017 | Jul 31, 2017 | STAMFORD, CT | Team lift out | Wirehouse to new firm | 0.0% |
| U•• F•••••••• S••••••• I••• | 2 | Jun 13, 2017 | Jun 13, 2017 | WILTON, CT | Team lift out | Wirehouse to new firm | 0.0% |