DFX Intelligence

W••••••• C•••••• M••••••• 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

W••••••• C•••••• M••••••• L••

CRD 41562

W•••••••, CT

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Search this name across graphsid dfx:ria:3fe05f77-5c1a-850e-a664-1d1040b930dd

Data as of Nov 20, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 2
Observed: Dec 19, 2011 to Nov 20, 2020
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

W••••••• C•••••• M••••••• L••

Intermediary · shared crd

Allocatorsidentity

W••••••• C•••••• M••••••• L••

Investment consultant · shared crd

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: $247M••• Locked
Discretionary RAUM: $58.4M
Private client RAUM: $71.7Mderived••• Locked
Private client share: 29%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• C••••••••• E•••••	PRESIDENT & CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER	E	yes	09/2007	Dec 19, 2011	Nov 20, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••• C•••••• M•••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Guilford	Ct	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$247M	$322M	-23.1%	$259M	-1.5%	9	10	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V••••••••• A••••••• S•••••••	3	Jun 9, 2021	May 7, 2021	W•••••••, CT	Firm absorbed	RIA to ibd	50.0%
L•• F•••••••• L••	2	Jun 26, 2018	Jun 7, 2018

Relationships

Controls (1)

← M••••••• C••••••••• E•••••OwnerPRESIDENT & CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 19, 2011 to presentfactForm ADV

Registered with (14)

← C••••••••• E••••• M••••••Advisorregistration: previous registration
Mar 12, 2002 to Jul 8, 2021factForm ADV
← DANIEL HYMAN MORRISAdvisorregistration: previous registration
Jan 6, 2021 to Jun 9, 2021factForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fe05f77-5c1a-850e-a664-1d1040b930dd
First observed: Dec 19, 2011
Last observed: Nov 20, 2020 71 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.