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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P••••••• S••••••••• I•••

CRD 13704

BRIDGEPORT, 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:84c423f0-3490-59db-53fe-6251f1f7c98c

Data as of Sep 3, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 139
Dated events: 7
On other graphs: 0
Observed: Mar 21, 2012 to Sep 3, 2019
36 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 550
Advisory employees: 45
Offices: 26Schedule D 1.F, beyond the principal office
Individual clients: 2,661
High net worth clients

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
B•••••• D••••• P••••••	FIRST VICE PRESIDENT, COO/CCO	Na	yes	02/2006	Mar 21, 2012	Sep 3, 2019
B•••••• K••••• L•••	Director	Na	yes	10/2018	Jan 16, 2019

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
P••••••• U••••• A•••••••• I•••	n/a	Former SEC adviser	$845M	N	yes	n/a
P••••••• U••••• F••••••••• I•••	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
COS COB	Ct	United States	2	yes
Fairfield	Ct	United States	2	yes
Trumbull	Ct	United States	2	yes
Branford	Ct	United States	1	yes
Brookfield	Ct

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

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
2018	n/a	n/a	n/a	$687M	n/a	550	675	26	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• F•••••	10	Nov 23, 2016	Nov 3, 2016	NEW YORK, NY	Firm absorbed	Other	90.9%

Relationships

showing 80 of 139

Affiliated with (1)

→ P••••••• U••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← H••••••• M•••••• E•••••OwnerPRESIDENT/CEO, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← H•••••• J•••••• F••••OwnerPRINCIPAL OPERATIONS OFFICER, ownership code NA, individual
Nov 28, 2018 to presentfactForm ADV
← P••••••••• J•••••••••Owner

Dated events

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

Occurred
Aug 28, 2019
Control person joined
Kirk William Walters (Sevp Corporate Dev & Strategic Planning) appeared on Schedule A of P••••••• S••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Aug 28, 2019
Control person left
Galan George Daukas (Director) no longer on Schedule A of P••••••• S••••••••• I••• (listed 2019-05-29, absent 2019-08-28)
Form ADVobserved 7 days ago
Occurred
Feb 26, 2019
Control person left
John P Barnes (Director) no longer on Schedule A of P••••••• S••••••••• I••• (listed 2019-01-16, absent 2019-02-26)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84c423f0-3490-59db-53fe-6251f1f7c98c
First observed: Mar 21, 2012
Last observed: Sep 3, 2019 85 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.

Registered with (68)

← Anna SoaveAdvisorregistration: previous registration
Sep 28, 2011 to Mar 31, 2020factForm ADV
← William Thomas SpencerAdvisorregistration: previous registration
Jun 21, 2017 to Mar 31, 2020factForm ADV
← MARY MCNAMARA COUTUREAdvisorregistration: previous registration
Sep 18, 2009 to Mar 31, 2020factForm ADV
← STEPHEN NICHOLAS SAYEGHAdvisorregistration: previous registration
Sep 28, 2001 to Mar 31, 2020factForm ADV
← ROBERT JAMES BAPTISTAdvisorregistration: previous registration
Jan 2, 2002 to Mar 31, 2020factForm ADV
← CHRISTOPHER LOUIS DURSIAdvisorregistration: previous registration
Jan 2, 2014 to Mar 31, 2020factForm ADV
← ERIN MURPHY CANDLERAdvisorregistration: previous registration
Jan 3, 2000 to Mar 31, 2020factForm ADV
← PETER JAY KIRSCHENBAUMAdvisorregistration: previous registration
May 24, 2006 to Mar 31, 2020factForm ADV
← CHARLES LYON OLSONAdvisorregistration: previous registration
Dec 7, 2015 to Mar 31, 2020factForm ADV
← Thomas OMalleyAdvisorregistration: previous registration
Nov 28, 2018 to Mar 31, 2020factForm ADV
← CURTIS ONEAL IRBYAdvisorregistration: previous registration
Sep 28, 2001 to Mar 31, 2020factForm ADV
← FABRIZIO ANTONIOCARLO FABRIZIOAdvisorregistration: previous registration
Jan 3, 2000 to Mar 31, 2020factForm ADV
← J••••••••• P•••••••••Advisorregistration: previous registration
Sep 8, 2001 to Mar 31, 2020factForm ADV
← ROBERT TODD DALYAdvisorregistration: previous registration
Sep 28, 2001 to Mar 31, 2020factForm ADV
← KERI ROBYN PRIMACKAdvisorregistration: previous registration
Nov 3, 2016 to Mar 31, 2020factForm ADV
← ARDEN ALVIN BAPTISTEAdvisorregistration: previous registration
Sep 19, 2013 to Mar 31, 2020factForm ADV
← Thomas Joseph CurryAdvisorregistration: previous registration
Oct 21, 2013 to Mar 31, 2020factForm ADV
← MARIO DOMINIC BARTOLIAdvisorregistration: previous registration
Feb 19, 2002 to Mar 31, 2020factForm ADV
← ROBERTA PREIS ANDERSONAdvisorregistration: previous registration
Jun 28, 2013 to Mar 31, 2020factForm ADV
← JASON M•••••• JEFFERSAdvisorregistration: previous registration
May 21, 2015 to Mar 31, 2020factForm ADV
← THOMAS ALFRED SAWYERAdvisorregistration: previous registration
Dec 15, 2017 to Mar 31, 2020factForm ADV
← Marcy B SmithAdvisorregistration: previous registration
Oct 27, 2009 to Mar 31, 2020factForm ADV
← JOHN M GRAYESKIAdvisorregistration: previous registration
Feb 19, 2002 to Mar 31, 2020factForm ADV
← NAOMI TANABEAdvisorregistration: previous registration
Sep 28, 2001 to Mar 31, 2020factForm ADV
← JOSEPH M•••••• BUCKLEYAdvisorregistration: previous registration
May 19, 2006 to Mar 31, 2020factForm ADV
← STEFANO PAUL CACCIOLAAdvisorregistration: previous registration
Dec 1, 2006 to Mar 31, 2020factForm ADV
← Michael GoldAdvisorregistration: previous registration
Nov 3, 2016 to Mar 31, 2020factForm ADV
← SABRINA ANNA ANGIOLILLOAdvisorregistration: previous registration
Mar 12, 2004 to Mar 31, 2020factForm ADV
← JERRETT T. WELTENSAdvisorregistration: previous registration
Feb 20, 2014 to Mar 31, 2020factForm ADV
← ELIZABETH NELSONAdvisorregistration: previous registration
Nov 21, 2016 to Mar 31, 2020factForm ADV
and 38 more