DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

M•••••••• C••••••• • T••••• I••••••••• C•••••• L••

CRD 118061

DARIEN, CT

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Data as of Mar 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 17, 2019
8 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: $566M••• Locked
Discretionary RAUM: $552M
Private client RAUM: $536Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• S••••• C•••••••	MANAGING DIRECTOR, PORTFOLIO MANAGER, MEMBER OF INVESTMENT COMMITTEE	C	yes	02/2009	Mar 29, 2012	Mar 17, 2019
M•••••••• K••••• A••••••	MANAGING DIRECTOR, PORTFOLIO MANAGER, MEMBER OF INVESTMENT COMMITTEE	C	yes	02/2009	Mar 29, 2012	Mar 17, 2019

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
2018	$566M	$592M	-4.4%	$490M	4.9%	5	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••• A•••••••	2	Apr 24, 2019	May 3, 2019	DARIEN, CT	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← M•••••••• K••••• A••••••OwnerMANAGING DIRECTOR, PORTFOLIO MANAGER, MEMBER OF INVESTMENT COMMITTEE, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← B•••••• S••••• C•••••••OwnerMANAGING DIRECTOR, PORTFOLIO MANAGER, MEMBER OF INVESTMENT COMMITTEE, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← T•••••• D••••• P••••••OwnerMANAGING DIRECTOR, PORTFOLIO MANAGER, MEMBER OF INVESTMENT COMMITTEE, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ C•••••••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 17, 2019 91 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.