DFX Intelligence

F••••• D••••••• I•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F••••• D••••••• I•••••••••

CRD 111155

FARMINGTON, CT

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Search this name across graphsid dfx:ria:5ebd278b-77ac-f008-14e3-4c4efbd94767

Data as of Apr 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 18, 2012
2 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $78.4M••• Locked
Discretionary RAUM: $47.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $39.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• P••••• S•••••••	n/a	FARMINGTON, CT	40	42	n/a	no
B•••• P••••• S•••••••	n/a	FARMINGTON, CT	24	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• P•••• L•	Director	Na	yes	09/2000	Mar 29, 2012	Apr 18, 2012
B•••••• R••	Director	Na	yes	12/2003	Mar 29, 2012	Apr 18, 2012
F••••• D••••••• A••••••••• I•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••• D••••••• A••••••••• I•••	n/a	n/a	n/a	Y	no	n/a

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	0	0

Relationships

Controls (6)

← S•••••••• B••••• P•••••OwnerVICE PRESIDENT, DIRECTOR, SECRETARY, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← S•••••••• R••••••• P•••••OwnerPRESIDENT, CEO, CFO, CHIEF COMPLIANCE OFFICER,TREAS., ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← B•••••••• P•••• L•OwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← B•••••• R••OwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ebd278b-77ac-f008-14e3-4c4efbd94767
First observed: Mar 29, 2012
Last observed: Apr 18, 2012 175 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.