DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

M••••• A•••••••

M••••• A•••••••, LLC, CRD 171922

FAIRFIELD, 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 graphs

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 83
Dated events: 40
On other graphs: 0
Observed: Jun 27, 2014 to Jun 8, 2026
59 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 managerderived••• Locked
Regulatory AUM: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $2.2Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 49
RAUM per advisor: $46.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• B•••• K•••	n/a	STAMFORD, CT \| FAIRFIELD, CT	28	36	n/a	yes
A••••• J• K•••••••	Certified Financial Planner	FAIRFIELD, CT \| Hamden, CT \| HAMDEN, CT	22	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• A••••••• E••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2024	Jun 8, 2026	Jun 8, 2026
M•••• D•••••• L••••	Cwo	Na	yes	01/2023	Jun 8, 2026	Jun 8, 2026

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW CANAAN	Ct	United States	4	yes
Pittsfield	Ma	United States	3	no
Glastonbury	Ct	United States	2	yes
WOODCLIFF LAKE	Nj	United States	2	no
Hamden	Ct	United States

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
9	0	9	0.0%	2	0	0	17	4

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	$2.3B	$1.9B	19.0%	$1.0B	30.2%	66	65	7	7

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•• C•••••• M••••••••• L••	2	May 5, 2026	May 5, 2026	FAIRFIELD, CT	Team lift out	RIA to RIA	100.0%
I••••••••• A•••••• A•••••••• L••	3	Oct 3, 2024	Oct 1, 2024

Relationships

showing 80 of 83

Registered with (53)

← T••••• Y••Advisorregistration: current employment
Aug 11, 2026 to presentfactForm ADV
← S••••• B•••• K•••Advisorregistration: current employment
Jul 28, 2026 to presentfactForm ADV
← K••• C••••••Advisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← E••• M•••••• M•••••••

Dated events

15 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
8 Jun 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
8 Jun 2026
Ria office opened2 events
M••••• A•••••••: ria office opened, 2 events, on 8 Jun 2026
- ••• Locked
- ••• Locked
Occurred
8 Jun 2026
Ria office closed2 events
M••••• A•••••••: ria office closed, 2 events, on 8 Jun 2026
- ••• Locked
- ••• Locked
Occurred
5 May 2026
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
27 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$443M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 27, 2014
Last observed: Jun 8, 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• C•••••• O••••••	n/a	FAIRFIELD, CT	8	35	1	yes
E••• C••• J••••••	n/a	FAIRFIELD, CT	8	23	4	no
C•••••• W•••••• R••••	Certified Financial Planner	FAIRFIELD, CT	8	14	2	yes
C•••••• K•••••• G•••••••	n/a	Hamden, CT \| FAIRFIELD, CT	7	27	2	yes
G•••••• S•••• F••••	n/a	FAIRFIELD, CT	6	23	1	yes
S•••••••• L•••• V•• A•••••	Certified Financial Planner	FAIRFIELD, CT	5	14	1	no
R••••• J••• W••••	Certified Financial Planner	FAIRFIELD, CT	5	28	3	yes
D••••• L•••• M•••	n/a	New Canaan, CT \| FAIRFIELD, CT	5	23	3	yes
T••• R••••• S••••••••	Certified Financial Planner	FAIRFIELD, CT \| New Canaan, CT	5	23	3	yes
C•••••• D•••••• M••••••	n/a	New Canaan, CT \| FAIRFIELD, CT	5	12	2	yes
J••••• E•••• K••••••••	Certified Financial Planner	FAIRFIELD, CT \| Woodcliff Lake, NJ	4	22	1	no
F•••••••• J••••• R••••••	Chartered Financial Consultant	Woodcliff Lake, NJ \| FAIRFIELD, CT	4	50	2	no
S•••• P• B••••••	Certified Financial Planner	FAIRFIELD, CT	3	17	5	no
W•••••• M•••••• S•••••••••	Certified Financial Planner	FAIRFIELD, CT \| New Canaan, CT	3	18	1	yes
L•••• A•••••••• R••••••	n/a	FAIRFIELD, CT \| Pittsfield, MA	2	38	1	no

All 23 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• P•••• A••••••••	Partner	Na	no	12/2024	Mar 28, 2024	Nov 5, 2024
F••••• G••••••• S••••	Partner	A	no	07/2023	Jul 27, 2023	Nov 5, 2024
G•••••••• C••••••• K••••••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024
H•••••• T••••••• J•••••	Partner	Na	no	12/2023	Mar 28, 2024	Nov 5, 2024
H•••• J••••• A•••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024
K•••••••• A•••••• J•	Partner	Na	no	12/2019	Mar 11, 2020	Nov 5, 2024
L••••••• D••••• J••••	Partner	A	no	08/2013	Jun 27, 2014	Nov 5, 2024
N••••••• C••••••••• J••	Partner	A	no	07/2023	Jun 27, 2014	Nov 5, 2024
O••••••• P••••• C••••••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024
P••••• D•••• S•••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024
R••••••• J•••••• E••••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024
S••••••••• T•••• R•••••	Partner	A	no	01/2023	Mar 17, 2023	Nov 5, 2024
W••••• R•••••• J•••	Partner	Na	no	07/2023	Jul 27, 2023	Nov 5, 2024

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 24, 2016	$218M	$218M	13	8	n/a	n/a	n/a
2014	Mar 27, 2015	$222M	$213M	13	9	n/a	n/a	n/a