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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

E•••••••• W••••• M••••••••• I•••

CRD 148129

PROVIDENCE, RI

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Search this name across graphsid dfx:ria:8d652a40-b404-84a5-5247-5ab48d9151eb

Data as of Apr 24, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 6
On other graphs: 0
Observed: Dec 6, 2011 to Apr 24, 2023
32 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: $1.0BItem 5.F on the latest filing (2023-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $913M
Private client RAUM: $774MderivedItem 5.D individuals plus high net worth individuals
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C•••••• D••••• J•••••	Treasurer	Na	yes	12/2010	Dec 6, 2011	Apr 24, 2023
C••••• J••• P•••• J••••	VICE PRESIDENT	Na	yes	12/2010	Dec 6, 2011

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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

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
2022	$1.0B	$1.2B	-14.5%	$968M	2.1%	9	10	1	1

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
C•••••••• A•••••••	4	Sep 26, 2023	Sep 19, 2023	PROVIDENCE, RI	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← C•••••••• J• M••••••OwnerPRESIDENT, ownership code E, individual
Dec 6, 2011 to presentfactForm ADV
← C•••••• D••••• J•••••OwnerTREASURER, ownership code NA, domestic entity
Dec 6, 2011 to presentfactForm ADV
← C••••• J••• P•••• J••••OwnerVICE PRESIDENT, ownership code NA, domestic entity
Dec 6, 2011 to presentfactForm ADV

Owns (1)

← C••••••• K••••• E•••••••• I••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Oct 5, 2023
Advisor changed firm
J Michael Costello left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-19)
Form ADVobserved 6 days ago
Occurred
Sep 26, 2023
Firm absorbed
E•••••••• W••••• M••••••••• I•••'s advisors moved to C•••••••• A••••••• (Providence, RI): 4 of 4 registered, within 9 days
Form ADVobserved 6 days ago
4 advisors
Occurred
Sep 26, 2023
Advisor changed firm
Donald Jerome Clarke left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-14)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d652a40-b404-84a5-5247-5ab48d9151eb
First observed: Dec 6, 2011
Last observed: Apr 24, 2023 41 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.