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N•••••••• W••••• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

N•••••••• W••••• P••••••• L••

CRD 169409

WEST HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4a265950-1307-68dd-3339-1856fe778c2a

Data as of Dec 14, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 2
On other graphs: 1
Observed: Dec 9, 2013 to Dec 14, 2020
33 observations

Across DFX

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

Allocatorsidentity

N•••••••• W••••• P••••••• 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: $1.0BItem 5.F on the latest filing (2020-12-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $616M
Private client RAUM: $1.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I•••••••• P•••••••• L••	Member	D	yes	11/2016	Nov 18, 2016	Dec 14, 2020
L•••••• R•••••• A••••••	MANAGING MEMBER	D	yes	09/2009	Dec 9, 2013

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
OLD SAYBROOK	Ct	United States	4	no
Shelton	Ct	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.0B	$915M	11.8%	$838M	6.9%	21	18	2	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Feb 8, 2021	Feb 16, 2021	WEST HARTFORD, CT	Team lift out	RIA to ibd	40.0%
P•••••••• W•••••	2	Dec 14, 2020

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Sep 7, 2016	Jun 9, 2014	WEST HARTFORD, CT	Team lift out	Other	0.0%
M•• F•••••••• S•••••••• I•••	2	Nov 30, 2015

Relationships

Owns (3)

← M•••••• R••••••• A•••OwnerOWNER, ownership code C, individual
Nov 18, 2016 to presentfactForm ADV
← M•••••• J•••••• A••••••OwnerOWNER, ownership code C, individual
Nov 18, 2016 to presentfactForm ADV
← D••••••••• T••••••• V•••••OwnerOWNER, ownership code C, individual
Nov 18, 2016 to presentfactForm ADV

Controls (3)

← L•••••• R•••••• A••••••OwnerMANAGING MEMBER, ownership code D, individual

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
N•••••••• W••••• P••••••• L•• reported RAUM $1.1B, up 29% from $838.1M (2018-01-22 to 2018-03-29)
Form ADVobserved 7 days ago
$239M
Occurred
Dec 9, 2013
First Form ADV filing
N•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a265950-1307-68dd-3339-1856fe778c2a
First observed: Dec 9, 2013
Last observed: Dec 14, 2020 70 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.

Registered with (24)

← J•••••• S•••••• S••••••Advisorregistration: previous registration
Jan 22, 2018 to Feb 27, 2021factForm ADV
← JAMES VINCENT BURNSAdvisorregistration: previous registration
Aug 29, 2019 to Feb 12, 2021factForm ADV
← J••••• A•••••• M•••••Advisorregistration: previous registration
Jun 9, 2014 to Feb 10, 2021factForm ADV
← MARC ADAM SACKAdvisorregistration: previous registration
Feb 3, 2015 to Feb 10, 2021factForm ADV
← R••••• A•••••• L•••••Advisorregistration: previous registration
Jan 7, 2014 to Feb 8, 2021factForm ADV
← T•••••• V••••• D••••••••Advisorregistration: previous registration
Jun 9, 2014 to Jan 8, 2021factForm ADV
← AMY ALISIA LAWLERAdvisorregistration: previous registration
Apr 15, 2015 to Dec 14, 2020factForm ADV
← Lizabeth L DregaAdvisorregistration: previous registration
Sep 20, 2018 to Dec 14, 2020factForm ADV
← MATTHEW WILLIAM FORTNEYAdvisorregistration: previous registration
Nov 30, 2015 to Sep 30, 2020factForm ADV
← LEONEL CALDERONAdvisorregistration: previous registration
Nov 30, 2015 to Sep 30, 2020factForm ADV
← TYLER WESTERVELT POTTSAdvisorregistration: previous registration
Jun 9, 2014 to Aug 31, 2020factForm ADV
← JAMES EDWARD CURRANAdvisorregistration: previous registration
May 2, 2016 to Oct 8, 2019factForm ADV
← TRACY A••• MACKINSTRYAdvisorregistration: previous registration
Dec 8, 2014 to Apr 1, 2019factForm ADV
← JAMES ALAN WARNERAdvisorregistration: previous registration
Oct 13, 2015 to Oct 1, 2018factForm ADV
← COLIN MICHAEL DUGANAdvisorregistration: previous registration
Sep 22, 2017 to Jul 2, 2018factForm ADV
← RYAN R MORRISSEYAdvisorregistration: previous registration
Feb 3, 2015 to Feb 2, 2018factForm ADV
← LEWIS CRAIG GREENAdvisorregistration: previous registration
Jun 19, 2014 to Apr 25, 2017factForm ADV
← Michael SheldonAdvisorregistration: previous registration
Dec 11, 2015 to Oct 27, 2016factForm ADV
← Brandon John MarinelliAdvisorregistration: previous registration
Jan 14, 2014 to May 31, 2016factForm ADV
← DOUGLAS A KARTSENAdvisorregistration: previous registration
Dec 8, 2014 to May 13, 2016factForm ADV
← STEVIN LINDSAY MOSESAdvisorregistration: previous registration
Feb 3, 2015 to Apr 20, 2016factForm ADV
← HAROLD H. HARTMANNAdvisorregistration: previous registration
Nov 14, 2014 to Nov 6, 2015factForm ADV
← KEVIN FRANCIS SULLIVANAdvisorregistration: previous registration
Jun 19, 2014 to May 14, 2015factForm ADV
← EMANUEL ANDRES ROMERO-VICINIAdvisorregistration: previous registration
Apr 4, 2014 to Apr 14, 2014factForm ADV