DFX Intelligence

W•••••• M•••••••• I••••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

W•••••• M•••••••• I••••••••• A••••••• I••

W•••••• M•••••••• I••••••••• A••••••• I••., CRD 301186

WOODBRIDGE, CT

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Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 23, 2019 to Apr 30, 2026
11 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=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $231M••• Locked
Discretionary RAUM: $0
Private client RAUM: $225Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $116Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• P••• H•••••••	n/a	Milford, CT	5	32	5	yes
P••• H•••••••	n/a	WOODBRIDGE, CT	5	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• P•••	SHAREHOLDER, PRESIDENT, CCO	E	yes	02/2019	Apr 23, 2019	Feb 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• M•••••••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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

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	$231M	$222M	4.0%	$126M	22.4%	2	2	1	1

Relationships

Registered with (2)

← D•••••• P••• H•••••••Advisorregistration: previous registration
Nov 19, 2019 to Dec 31, 2020factForm ADV
← P••• H•••••••Advisorregistration: previous registration
Aug 21, 2019 to Dec 31, 2020factForm ADV

Controls (1)

← H•••••••• P•••OwnerSHAREHOLDER, PRESIDENT, CCO, ownership code E, individual
Apr 23, 2019 to Feb 21, 2024factForm ADV

Dated events

Occurred
Apr 30, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Apr 23, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 23, 2019
Last observed: Apr 30, 2026 4 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.