DFX Intelligence

N•• E•••••• C•••••• P•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

N•• E•••••• C•••••• P•••••••• I•••

CRD 109708

AVON, CT

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Search this name across graphsid dfx:ria:48642b63-cff2-991d-568a-07f99de0272a

Data as of Jun 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 1
Observed: Sep 25, 2017 to Jun 24, 2020
6 observations

Across DFX

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

Allocatorsidentity

N•• E•••••• C•••••• P•••••••• I•••

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: $152M••• Locked
Discretionary RAUM: $81.5M
Private client RAUM: $112Mderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• A••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/2012	Sep 25, 2017	Jun 24, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 9, 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
2019	$152M	$137M	10.8%	n/a	n/a	5	6	0	0

Relationships

Controls (1)

← D••••••• A••••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 25, 2017 to presentfactForm ADV

Registered with (1)

← A•••••• D••••••Advisorregistration: previous registration
Dec 8, 2009 to Oct 4, 2020factForm ADV

Dated events

Occurred
Sep 25, 2017
First Form ADV filing
N•• E•••••• C•••••• P•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48642b63-cff2-991d-568a-07f99de0272a
First observed: Sep 25, 2017
Last observed: Jun 24, 2020 76 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.