DFX Intelligence

H••• C•••••• R••• E•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

H••• C•••••• R••• E•••••• L••

CRD 281848

ROWAYTON, CT

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Search this name across graphsid dfx:ria:af141a65-0b83-d377-c049-10bd3b3a00c2

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jan 30, 2019 to Mar 30, 2026
11 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: asset managerderivedprivate_client_share=0.06 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $140M••• Locked
Discretionary RAUM: $140M
Private client RAUM: $7.7Mderived••• Locked
Private client share: 6%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $70.1Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• I•••••••• I••	MAJORITY OWNER	D	yes	10/2018	Jan 30, 2019	Mar 28, 2024
P•••••• A••••••••• R•••••	President	C	yes	10/2015	Jan 30, 2019	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••• I•••••••• I••	n/a	Independent wealth	$192M	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$140M	$129M	8.9%	$67.4M	27.6%	4	4	0	0

Relationships

Affiliated with (2)

→ P••••• I•••••••• I••Registered adviserother investment adviser, control
factForm ADV
← P••••• I•••••••• I••Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV

Registered with (3)

← S••••• P••• P•••••Advisorregistration: current employment
Oct 16, 2018 to presentfactForm ADV
← A•••••••• R••••• P•••••

Dated events

Occurred
Jan 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 30, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af141a65-0b83-d377-c049-10bd3b3a00c2
First observed: Jan 30, 2019
Last observed: Mar 30, 2026 5 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.