DFX Intelligence

B••••• F•••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B••••• F•••••••• G••••• L••

CRD 140504

TORRINGTON, CT

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Search this name across graphsid dfx:ria:67cf8221-55e1-4947-c924-07387d770c2b

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Feb 13, 2022 to Jun 22, 2026
16 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $199M••• Locked
Discretionary RAUM: $195M
Private client RAUM: $199Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $66.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• A••••• T•••••••	Certified Financial Planner	TORRINGTON, CT	20	22	1	no
S••••• L••• T•••••••	n/a	TORRINGTON, CT	15	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••••• J••••• A•••••	MANAGING PARTNER	D	yes	03/2006	Feb 13, 2022	Aug 15, 2024
T•••••••• S•••••• L•••	PARTNER & CHIEF COMPLIANCE OFFICER	A	yes	03/2011	Feb 13, 2022	Aug 15, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Burlington	Ct	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 4, 2026

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	1	1

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	$199M	$169M	18.0%	$103M	24.5%	3	3	1	1

Relationships

Registered with (5)

← J••• E••••• S•••••••Advisorregistration: current employment
Mar 8, 2017 to presentfactForm ADV
← S••••• L••• T•••••••Advisorregistration: current employment
Jan 24, 2011 to presentfactForm ADV
← J•••• A••••• T•••••••Advisorregistration: current employment
Jun 22, 2006 to presentfactForm ADV
← J•••• A••••• F•••••

Dated events

Occurred
Aug 15, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 13, 2022
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67cf8221-55e1-4947-c924-07387d770c2b
First observed: Feb 13, 2022
Last observed: Jun 22, 2026 3 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.