DFX Intelligence

C••••• F•••••••• S•••••••• I•••: 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 adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••• F•••••••• S•••••••• I•••

CRD 104671

SHELTON, 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:a4c3bd5f-5aa4-427a-eb9a-21a61d8c26e8

Data as of May 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Mar 29, 2012 to May 26, 2026
33 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $184M••• Locked
Discretionary RAUM: $184M
Private client RAUM: $184Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $61.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J•••• B•••••	n/a	SHELTON, CT	9	12	n/a	yes
S••••• G•••••• B•••••	n/a	SHELTON, CT	4	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M••••••• J••••	CHIEF COMPLIANCE OFFICER/ CHIEF EXECUTIVE OFFICER/ SHAREHOLDER/CHAIRMAN	E	yes	07/2016	Jul 8, 2016	May 31, 2024
B•••••• S•••••• G••••••	VICE PRESIDENT	A	yes	03/2022	May 31, 2022	May 31, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• S••••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
F•••• O•••• C••	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BOYNTON BEACH	FL	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	2

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	$184M	$157M	16.9%	$165M	3.8%	3	4	0	0

Relationships

Registered with (6)

← T••••• D••••• K•••••Advisorregistration: previous registration
Jan 4, 2024 to Mar 1, 2024factForm ADV
← S••••• G•••••• B•••••Advisorregistration: current employment
Dec 3, 2021 to presentfactForm ADV
← M•••••• J•••• B•••••Advisorregistration: current employment
Oct 13, 2016 to presentfactForm ADV
← A•••• M• O••••

Dated events

Occurred
May 26, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
May 26, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
May 26, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Aug 20, 2025

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4c3bd5f-5aa4-427a-eb9a-21a61d8c26e8
First observed: Mar 29, 2012
Last observed: May 26, 2026 4 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.