DFX Intelligence

M•••• F•••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

M•••• F•••••••• G••••• L••

CRD 150119

GUILFORD, CT

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Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 4, 2012 to Mar 3, 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $482M••• Locked
Discretionary RAUM: $482M
Private client RAUM: $477Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $80.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• J••• M••••	n/a	GUILFORD, CT	17	42	2	no
A•••••••• R••••• M••••	n/a	GUILFORD, CT	11	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• R•••••• J•••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2009	Jan 4, 2012	Mar 12, 2024

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	1	-1	16.7%	0	0	0	0	1

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	$482M	$427M	13.1%	$332M	13.2%	12	11	0	0

Relationships

Registered with (7)

← N••• B• L••••••Advisorregistration: current employment
Oct 25, 2024 to presentfactForm ADV
← C•••••• J•••• D•••••••Advisorregistration: current employment
Aug 31, 2022 to presentfactForm ADV
← B••••••• T••••• M••••Advisorregistration: current employment
Jul 8, 2020 to presentfactForm ADV
← W•••••• H••••• L••••

Dated events

Order

Occurred
14 Apr 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 4, 2012
Last observed: Mar 3, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 7, 2016	$162M	$157M	6	3	n/a	n/a	n/a
2014	Mar 9, 2015	$158M	$147M	4	2	n/a	n/a	n/a
2013	Feb 26, 2014	$153M	$140M	3	1	n/a	n/a	n/a
2012	Jan 15, 2013	$130M	$118M	3	1	n/a	n/a	n/a
2011	Jan 4, 2012	$124M	$111M	n/a	n/a	n/a	n/a	n/a