DFX Intelligence
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CRD 134510
FAIRFIELD, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| P•••• J••••• D•• | n/a | FAIRFIELD, CT | 18 | 21 | 2 | yes |
| J•••• H••••• D•••••• | n/a | FAIRFIELD, CT | 11 | 27 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••• J••••• H••••• | CHIEF FINANCIAL OFFICER | Na | yes | 06/2007 | Mar 31, 2022 | Mar 28, 2024 |
| H•••••• J• S••• • C•• I••• | Shareholder | E | yes | 11/1995 | Mar 31, 2022 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H•••••• J• S••• • C•• I••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Redbank | Nj | United States | 8 | yes |
| BOCA RATON | FL | United States | 7 | yes |
| Jupiter | FL | United States | 4 | yes |
| Bloomington | Mn | United States | 2 | yes |
| Guaynabo | Pr | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 27, 2026 |
| 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 | 8 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $437M | $187M | 133.9% | $140M | 46.2% | 30 | 30 | 4 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• G•••• W••••• M••••••••• I••• | 2 | Jan 10, 2025 | Jan 17, 2025 | NEW YORK, NY | Team lift out | RIA to RIA | 33.3% |
| O••••••••• • C•• I••• | 2 | Dec 24, 2020 | Jul 8, 2021 |
| yes |
| D••••• J••••• M•••••• | n/a | FAIRFIELD, CT | 11 | 42 | 2 | yes |
| M•••• C•••••• | n/a | BOCA RATON, FL | FAIRFIELD, CT | 10 | 42 | 3 | yes |
| C••••• R•••• A••••••• | n/a | FAIRFIELD, CT | ORLANDO, FL | 10 | 41 | 1 | yes |
| S•••• A•••••••• A•••••••• | n/a | FAIRFIELD, CT | Boca Raton, FL | 9 | 22 | n/a | yes |
| J••••••• D•••• J•••• | n/a | BOCA RATON FL, FL | FAIRFIELD, CT | 8 | 21 | n/a | yes |
| C••••••• D•••• E••••••• | n/a | Boca Raton, FL | FAIRFIELD, CT | 7 | 15 | n/a | yes |
| M•••••• J••••• C•••••• | Certified Financial Planner | Bloomington, MN | FAIRFIELD, CT | 7 | 27 | 1 | yes |
| E•••••••• B•••••• S••• | n/a | FAIRFIELD, CT | AUSTIN, TX | 7 | 18 | n/a | no |
| D•••• K•••••• G••••••• | n/a | FAIRFIELD, CT | Red Bank, NJ | 6 | 22 | n/a | yes |
| G••••••• T••• V•• D•• L••••• | n/a | Red Bank, NJ | 6 | 22 | n/a | yes |
| E••••• M•••••• C•••••••• | n/a | FAIRFIELD, CT | Red Bank, NJ | 6 | 32 | 1 | yes |
| N••••••• S•••••••• | n/a | FAIRFIELD, CT | 6 | 31 | n/a | yes |
| R•••••• L••••• B•••••• | n/a | Port St. Luci, FL | FAIRFIELD, CT | 6 | 18 | 1 | yes |
| E•••••••• L•••••• T••••• | n/a | FAIRFIELD, CT | Red Bank, NJ | 6 | 14 | n/a | yes |
| J••••• D••••• T••••• | n/a | Red Bank, NJ | FAIRFIELD, CT | 6 | 22 | n/a | yes |
| A••••• C••••••• | n/a | REd Bank, NJ | 5 | 14 | n/a | yes |
| F•••• O•••• C••••• | n/a | FAIRFIELD, CT | PALM BEACH GARDENS, FL | 5 | 36 | 2 | yes |
| M•••••• R••• T•••• | n/a | FAIRFIELD, CT | PALM BEACH GARDENS, FL | 5 | 28 | 1 | yes |
| T•••••• P•••••• G••••••••• | n/a | STUART, FL | FAIRFIELD, CT | 5 | 43 | 6 | yes |
| G••• A•• M••••••• | n/a | Fairfield, CT | FAIRFIELD, CT | 5 | 18 | 1 | yes |
| S••••• B•• C•• | n/a | REd Bank, NJ | FAIRFIELD, CT | 5 | 17 | n/a | yes |
| D••• L••• G•••• | n/a | BOCA RATON, FL | FAIRFIELD, CT | 5 | 23 | 1 | yes |
| P••• J••• D••••• | n/a | FAIRFIELD, CT | 5 | 38 | n/a | yes |
| MANAGING DIRECTOR |
| Na |
| yes |
| 10/2022 |
| Mar 31, 2023 |
| Mar 28, 2024 |
| K••••• j•••• w•••••• | MANAGING DIRECTOR | Na | yes | 10/2022 | Mar 31, 2023 | Mar 28, 2024 |
| S•••• W••••••• B•••••• | Ceo | Na | yes | 11/1995 | Mar 31, 2022 | Mar 28, 2024 |
| S•••• W••••••• B•••••• | Shareholder | E | yes | 05/1981 | Mar 31, 2022 | Mar 28, 2024 |
| T••••• C••••••••• | Shareholder | E | yes | 07/1970 | Mar 31, 2022 | Mar 28, 2024 |
| H•••••• V•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 09/2019 | Mar 31, 2022 | Mar 28, 2024 |
| yes |
| $437M |
| $331M |
| 30 |
| 25 |
| 4 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $187M | $153M | 30 | 24 | 4 | n/a | n/a |
| 2023 | Mar 28, 2024 | $147M | $121M | 30 | 21 | 5 | n/a | n/a |
| 2022 | Mar 31, 2023 | $140M | $104M | 32 | 23 | 5 | n/a | n/a |
| NORTH PALM BEACH, FL |
| Team lift out |
| Ibd to RIA |
| 0.2% |
| O••••••••• • C•• I••• | 2 | Jan 24, 2020 | Jul 20, 2021 | NORTH PALM BEACH, FL | Team lift out | Ibd to RIA | 0.2% |
| S•••••••• S••••••••• | 2 | Feb 12, 2018 | Feb 27, 2018 | SANTURCE, PR | Team lift out | Other | 1.1% |