DFX Intelligence

S••••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S••••••••• A••••••• L••

CRD 134017

WILTON, CT

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Search this name across graphsid dfx:ria:dd651006-f2e1-52e2-ccc7-d62e60a5691c

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 8
On other graphs: 0
Observed: Mar 29, 2012 to Mar 18, 2026
35 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=0.01 fund_share=0.98 institutional_share=0.01 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $119Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $2.4Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• A•••• W•••	n/a	WILTON, CT	20	25	n/a	no
E••• D•••• W•••••	n/a	WILTON, CT	12	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• S•••••••	CHIEF COMPLIANCE OFFICER & COUNSEL	Na	yes	06/2024	Jun 12, 2024	Oct 17, 2024
A•• V••••••• L••	Shareholder	E	yes	10/2010	Mar 29, 2012	Oct 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• T•••• A••••••• L•	n/a	Asset manager	$309B	N	yes	n/a
F•••• T•••• G••••• P••••••••• L••••••	n/a	Asset manager	$339M	N	yes	n/a

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	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	$12B	$11B	9.2%	$11B	4.0%	15	17	0	0

Relationships

Affiliated with (8)

← V••• F•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← F•••• T•••• A••••••• L•Registered adviserother investment adviser, common control
factForm ADV
← F•••• T•••• G••••• P••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ F•••• T•••• A••••••• L•Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Jun 12, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 26, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-3.9B
Occurred
Mar 31, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd651006-f2e1-52e2-ccc7-d62e60a5691c
First observed: Mar 29, 2012
Last observed: Mar 18, 2026 6 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.