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

FILOMENO WEALTH MANAGEMENT, LLC

CRD 145450

WEST HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e2fd2b5-e9d4-36e7-ddc1-4c5150bfd73b

Data as of Jun 3, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jun 3, 2014
7 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: $58.1MItem 5.F on the latest filing (2014-06-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $43.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 5
Accounts: 36
Custody, client assets: $1.3M
SEC number: 801-68464
CRD: 145450
Filings on the tape: 7
First filed: Mar 28, 2012
Latest filed: Jun 3, 2014
Organised: Limited Liability Company, Connecticut

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
FILOMENO & COMPANY, P.C.	Owner	E	yes	09/2007	Jun 24, 2013	Jun 3, 2014
FILOMENO, THOMAS, JOSEPH	Owner	C	yes	01/1980	Mar 28, 2012	Jun 3, 2014
FILOMENO, THOMAS, JOSEPH	MANAGING DIRECTOR	Na	yes	09/2007	Mar 28, 2012	Jun 3, 2014
KNIERIM, LINDA, C	CHIEF COMPLIANCE OFFICER	Na	yes	06/2013	Jun 24, 2013	Jun 3, 2014
RUSSELL, JAMES, GERARD	Owner	C	yes	02/1990	Mar 28, 2012	Jun 3, 2014
SAUNDERS, JUDITH, ELLEN	Owner	C	yes	01/2001	Mar 28, 2012	Jun 3, 2014
THOMSON, GEORGE, MAXYMILLIAN	Owner	C	yes	01/1997	Mar 28, 2012	Jun 3, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FILOMENO & COMPANY, P.C.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WEST HAVEN	Ct	United States	n/a	no

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
2013	Mar 20, 2014	$58.1M	$43.7M	8	5	n/a	n/a	n/a
2012	Mar 28, 2013	$186M	$124M	5	4	n/a	n/a	n/a
2011	Mar 28, 2012	$158M	$115M	n/a	n/a	n/a	n/a	n/a

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
2013	$58.1M	$186M	-68.9%	n/a	n/a	8	5	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MARCUM WEALTH, LLC	3	Oct 2, 2020	Sep 22, 2020	WEST HAVEN, CT	Firm absorbed	Other	100.0%

Relationships

Controls (6)

← RUSSELL, JAMES, GERARDOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← FILOMENO, THOMAS, JOSEPHOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← SAUNDERS, JUDITH, ELLENOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← THOMSON, GEORGE, MAXYMILLIANOwnerOWNER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← KNIERIM, LINDA, COwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 24, 2013 to presentfactForm ADV
← FILOMENO & COMPANY, P.C.OwnerOWNER, ownership code E, domestic entity
Jun 24, 2013 to presentfactForm ADV

Registered with (7)

← Thomas J FilomenoAdvisorregistration: previous registration
Jun 12, 2013 to Oct 2, 2020factForm ADV
← Patricia Elizabeth SmallAdvisorregistration: previous registration
Jan 21, 2011 to Oct 2, 2020factForm ADV
← RICHARD MATTHIEU MARCIANOAdvisorregistration: previous registration
Oct 1, 2018 to Oct 2, 2020factForm ADV
← JAMES GERARD RUSSELLAdvisorregistration: previous registration
Jun 12, 2013 to Jan 8, 2015factForm ADV
← MICHAEL ANTHONY TEDONEAdvisorregistration: previous registration
Dec 4, 2008 to Jun 24, 2013factForm ADV
← ELIZABETH ANNE DEBASSIOAdvisorregistration: previous registration
Dec 11, 2008 to Jun 24, 2013factForm ADV
← KATHLEEN M CHRISTENSENAdvisorregistration: previous registration
Dec 4, 2008 to Jun 24, 2013factForm ADV

Moved with (1)

→ MARCUM WEALTH, LLCRegistered adviser3 advisors, firm absorbed, same day
Oct 2, 2020 to Sep 22, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e2fd2b5-e9d4-36e7-ddc1-4c5150bfd73b
First observed: Mar 28, 2012
Last observed: Jun 3, 2014 149 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.

FILOMENO WEALTH MANAGEMENT, LLC

CRD 145450

WEST HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e2fd2b5-e9d4-36e7-ddc1-4c5150bfd73b

Data as of Jun 3, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FILOMENO & COMPANY, P.C.

Owner

yes

09/2007

Jun 24, 2013

Jun 3, 2014

FILOMENO, THOMAS, JOSEPH

Owner

yes

01/1980

Mar 28, 2012

Jun 3, 2014

FILOMENO, THOMAS, JOSEPH

MANAGING DIRECTOR

yes

09/2007

Mar 28, 2012

Jun 3, 2014

KNIERIM, LINDA, C

CHIEF COMPLIANCE OFFICER

yes

06/2013

Jun 24, 2013

Jun 3, 2014

RUSSELL, JAMES, GERARD

Owner

yes

02/1990

Mar 28, 2012

Jun 3, 2014

SAUNDERS, JUDITH, ELLEN

Owner

yes

01/2001

Mar 28, 2012

Jun 3, 2014

THOMSON, GEORGE, MAXYMILLIAN

Owner

yes

01/1997

Mar 28, 2012

Jun 3, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FILOMENO & COMPANY, P.C.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

WEST HAVEN

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 20, 2014

$58.1M

$43.7M

n/a

2012

Mar 28, 2013

$186M

$124M

n/a

2011

Mar 28, 2012

$158M

$115M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$58.1M

$186M

-68.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MARCUM WEALTH, LLC

Oct 2, 2020

Sep 22, 2020

WEST HAVEN, CT

Firm absorbed

Other

100.0%