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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• I••••••••• L••

CRD 106159

WEST HARTFORD, CT

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Search this name across graphsid dfx:ria:6c08541e-bf90-ca99-718e-5fc94de98663

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 1
Observed: Apr 3, 2012 to Mar 31, 2026
16 observations

Across DFX

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

Family Officesidentity

C•••••• I••••••••• L••

Family office · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $524MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $141M
Private client RAUM: $505MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• A••• P••••••	n/a	WEST HARTFORD, CT	32	35	n/a	no

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
P••••••• C••••••• A•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	11/2008	Apr 3, 2012	Mar 28, 2024

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

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
2025	$524M	$466M	12.5%	$358M	13.5%	3	3	0	0

Relationships

Registered with (1)

← C•••••• A••• P••••••Advisorregistration: current employment
Jul 26, 1994 to presentfactForm ADV

Controls (1)

← P••••••• C••••••• A•••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 3, 2012 to Mar 28, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c08541e-bf90-ca99-718e-5fc94de98663
First observed: Apr 3, 2012
Last observed: Mar 31, 2026 5 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.

2025	Mar 31, 2026	$524M	$141M	3	3	0	n/a	n/a
2024	Mar 14, 2025	$466M	$105M	3	3	0	n/a	n/a
2023	Mar 28, 2024	$413M	$83.3M	3	3	0	n/a	n/a
2022	Mar 31, 2023	$358M	$78.9M	3	3	0	n/a	n/a
2021	Mar 30, 2022	$417M	$98.6M	3	3	0	n/a	n/a
2020	Apr 1, 2021	$366M	$88.9M	3	3	0	n/a	n/a
2019	Mar 31, 2020	$299M	$63.3M	3	3	0	n/a	n/a
2018	Mar 28, 2019	$254M	$35.6M	3	3	0	n/a	n/a
2017	Mar 28, 2018	$278M	$40.4M	3	3	0	n/a	n/a
2016	Mar 30, 2017	$245M	$31.1M	3	3	n/a	n/a	n/a
2015	Mar 29, 2016	$228M	$12.7M	3	3	n/a	n/a	n/a
2014	Mar 31, 2015	$234M	$11.3M	3	3	n/a	n/a	n/a
2013	Mar 27, 2014	$223M	$11.2M	3	3	n/a	n/a	n/a
2012	Apr 3, 2013	$207M	$10.5M	3	3	n/a	n/a	n/a
2011	Apr 3, 2012	$191M	$6.0M	n/a	n/a	n/a	n/a	n/a