DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A•••••••• A••••••• S•••••••• L••

CRD 111614

GLASTONBURY, CT

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Search this name across graphsid dfx:ria:30079839-9be2-6128-1b06-9e25d9275291

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 6
On other graphs: 0
Observed: Mar 30, 2012 to Jul 17, 2026
44 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $2.0Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $157Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• P••• G•••••••	Certified Financial Planner	GLASTONBURY, CT \| EAST OTIS, MA	26	32	1	no
C••••• M••••• H••••••••	Certified Financial Planner	GLASTONBURY, CT	17	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• L••	Owner	E	yes	09/2021	Sep 1, 2021	Mar 26, 2024
D••••• J••••• L•	CHIEF EXECUTIVE OFFICER	Na	yes	10/2022	Mar 16, 2023	Mar 26, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Independence	Oh	United States	3	no
Charlotte	Nc	United States	2	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

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	$2.0B	$1.7B	23.1%	$1.1B	21.3%	56	55	3	3

Relationships

Registered with (19)

← A•••• B•••• R•••Advisorregistration: current employment
Jul 21, 2026 to presentfactForm ADV
← T•••• J•••• G•••••Advisorregistration: current employment
Dec 23, 2024 to presentfactForm ADV
← O••••• K•••••• G•••••••Advisorregistration: current employment
Mar 12, 2024 to presentfactForm ADV
← A•••• V•••••• H••••••

Dated events

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

Occurred
Jul 17, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Apr 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 23, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30079839-9be2-6128-1b06-9e25d9275291
First observed: Mar 30, 2012
Last observed: Jul 17, 2026 2 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.