DFX Intelligence

V••• F•••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

V••• F•••••••• P•••••••• L••

CRD 34815

WINDSOR, CT

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Search this name across graphs

Data as of Mar 31, 2023 (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: 454
Dated events: 12
On other graphs: 0
Observed: Mar 26, 2012 to Mar 31, 2023
35 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: $0derived••• Locked
Advisors on IAPD: 0
Employees: 55
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-57637
CRD: 34815

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• S•••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Sep 9, 2022	Mar 31, 2023
E••••••• W•••••• P••••	MANAGING DIRECTOR	Na	yes	08/2016	Dec 2, 2016	Mar 31, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••• I••••••••• M••••••••• C•• L••	n/a	Asset manager	$275B	N	yes	n/a
V••• I••••••••• L••	n/a	Asset manager	$59B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Braintree	Ma	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	n/a	n/a	n/a	n/a	55	54	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V••• R••••••••• A•••••••• L••	5	Jul 12, 2023	Aug 22, 2023	WINDSOR, CT	Channel change	Other	45.5%

Relationships

showing 80 of 454

Affiliated with (18)

← V••• F•••••••• A•••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← V••• I••••••••• M••••••••• C•• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← V••• A••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← V••• I••••••••• M••••••••• L••

Dated events

Order

Occurred
12 Jul 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
14 Apr 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
27 Jan 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
7 Dec 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
17 Oct 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 26, 2012
Last observed: Mar 31, 2023 42 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 13 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••• I••••••••• T•••• C••••••	n/a	n/a	n/a	N	yes	Ct
V••• I••••••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
V••• R••••••••• I•••••••• A•• A•••••• C••••••	n/a	n/a	n/a	Y	yes	n/a

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 7, 2013	$176M	$0	35	35	n/a	n/a	n/a
2011	Mar 26, 2012	$148M	$0	n/a	n/a	n/a	n/a	n/a