DFX Intelligence

T•• W••••••• C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

T•• W••••••• C•••••••••

CRD 105273

SHELTON, CT

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Search this name across graphsid dfx:ria:24c5c584-ebd3-f4d8-f66c-af0d1e8a22d8

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 28, 2012 to Mar 16, 2026
23 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 21
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• M••••••• J•	CHIEF COMPLIANCE OFFICER	Na	yes	08/2018	Sep 5, 2018	Mar 14, 2024
K•••••••• C•••••• M••••••••• I•••	Shareholder	E	yes	07/2018	Sep 5, 2018	Mar 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• I•••••••• S•••••• I••	n/a	Other adviser	$1.2B	Y	yes	n/a
W••••• P•••••• A•••• M••••••••• L••	n/a	Mixed wealth	$74.1M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	21	21	0	0

Relationships

Affiliated with (4)

← W••••• P•••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ W••••• I•••••••• S•••••• I••Registered adviserother investment adviser, control, common control
factForm ADV
→ W••••• P•••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← W••••• I•••••••• S•••••• I••Registered adviser

Dated events

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

Occurred
Mar 16, 2026
Ria principal change
••• Locked
Form ADVobserved today

Show 1 bookkeeping events

Occurred
Mar 16, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24c5c584-ebd3-f4d8-f66c-af0d1e8a22d8
First observed: Mar 28, 2012
Last observed: Mar 16, 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.