DFX Intelligence

N••••• W••••• M••••••••• L••: 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

N••••• W••••• M••••••••• L••

CRD 110360

WESTPORT, 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:95845b96-0afb-f107-bbbc-474fc7fe7850

Data as of Mar 8, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 1
Observed: Feb 13, 2012 to Mar 8, 2022
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

N••••• W••••• M••••••••• L••

Intermediary · shared crd

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: $328M••• Locked
Discretionary RAUM: $328M
Private client RAUM: $328Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••••• M••••••• R•••••	President	D	yes	02/2000	Feb 13, 2012	Mar 8, 2022
L•••••••• M••••••• R•••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2000	Feb 13, 2012	Mar 8, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$328M	$272M	20.8%	$174M	23.5%	3	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• W••••• M••••••••• L••	2	Jan 13, 2023	Nov 15, 2022	WESTPORT, CT	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← L•••••••• M••••••• R•••••OwnerPRESIDENT, ownership code D, individual
Feb 13, 2012 to presentfactForm ADV
← S••••••• K••••• L•••OwnerVICE PRESIDENT, ownership code D, individual
Feb 13, 2012 to presentfactForm ADV
← N••••• S•••••••• P•••••••• I•••OwnerMANAGING MEMBER, ownership code E, domestic entity
May 13, 2015 to presentfactForm ADV

Registered with (2)

← M•••••• R••••• L•••••••Advisor

Dated events

Occurred
Jan 13, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jan 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 13, 2015
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95845b96-0afb-f107-bbbc-474fc7fe7850
First observed: Feb 13, 2012
Last observed: Mar 8, 2022 55 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.