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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

W•••••• C••••••• W••••• M••••••••• I•••

CRD 112243

GLASTONBURY, CT

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Data as of Apr 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Mar 20, 2012 to Apr 14, 2025
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: $501M••• Locked
Discretionary RAUM: $501M
Private client RAUM: $480Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• L•••• R•••••••	CHAIRMAN OF THE BOARD/VICE PRESIDENT	A	yes	04/2024	Mar 20, 2012	Sep 3, 2024
C•••••••• M••••••• W••••••	PRESIDENT & CEO	B	yes	10/2022	Jan 15, 2020	Sep 3, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$501M	$453M	10.6%	$466M	2.4%	8	5	1	0

Relationships

Registered with (2)

← M•••••• W•••••• C•••••••Advisorregistration: previous registration
Sep 5, 2017 to Aug 4, 2025factForm ADV
← P••••• S• O••Advisorregistration: previous registration
May 23, 2021 to Jul 16, 2025factForm ADV

Controls (4)

← C•••••••• L•••• R•••••••OwnerCHAIRMAN OF THE BOARD/VICE PRESIDENT, ownership code A, individual
Mar 20, 2012 to Sep 3, 2024factForm ADV
←

Dated events

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

Occurred
Aug 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 15, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping event

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2012
Last observed: Apr 14, 2025 17 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 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 3, 2015	$208M	$208M	4	3	n/a	n/a	n/a
2013	Mar 11, 2014	$190M	$190M	4	3	n/a	n/a	n/a
2012	Mar 21, 2013	$165M	$165M	4	3	n/a	n/a	n/a
2011	Mar 20, 2012	$95.8M	$95.8M	n/a	n/a	n/a	n/a	n/a