DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••• F•••••••• S•••••••• I•••
Latest filing May 26, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since May 15, 1985
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$61.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$184M as of May 26, 2026
Jun 8, 2012$847M then
HNW client RAUM$112M as of May 26, 2026
May 3, 2018$25.0M then
State-registered IARs (5.B.3)3 as of May 26, 2026
Jun 8, 20120 then
Employees (5.A)3 as of May 26, 2026
Apr 15, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+3.8% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $61.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 445derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $116,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M61%
- Individuals$72.2M39%
- Individual clients
- 1,284reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,576reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••• B••••• | Shelton, Ct | Oct 13, 2016 | 12 y | 0 |
| S••••• G•••••• B••••• | Shelton, Ct | Dec 3, 2021 | 10 y | 0 |
| T••••• D••••• K••••• | Chicago, Il | Feb 24, 2026 | 17 y | 6 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A•••• M• O•••• to F•• W••••• I••Aug 20, 2025 · RIA to a newly registered adviser
- F•••• O•••• to F•• W••••• I••Aug 20, 2025 · RIA to a newly registered adviser
- S•••• L••• C••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 29, 2014 · Other
Joined, latest
- T••••• D••••• K••••• from X••• S•••••••Jan 4, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• J•••• · Chief Compliance Officer/ Chief Executive Officer/ Shareholder/Chairmancontrolsince 07/2016 · owns 75% or more
- B•••••• S•••••• G•••••• · Vice Presidentcontrolsince 03/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•• S••••••••• I•••broker-dealery
- F•••• O•••• C••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shelton, Ct · principal | 3 | 1 | 0 | ||
| Boynton Beach, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boynton Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing May 26, 2026private clients per advisor of 445.0 against a peer median of 57.3 (3076 comparable advisers, 100.0th percentile, 11.0 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,637 to 1,576Nov 4, 2025 to May 26, 2026
- BD registered reps · 2 to 3Nov 4, 2025 to May 26, 2026
- Employees · 2 to 3Nov 4, 2025 to May 26, 2026
- State-registered IARs · 2 to 3Nov 4, 2025 to May 26, 2026
- Discretionary RAUM · $196M to $184MNov 4, 2025 to May 26, 2026
- Individual RAUM · $83.7M to $72.2MNov 4, 2025 to May 26, 2026
- RAUM · $196M to $184MNov 4, 2025 to May 26, 2026
- Advisory employees · 4 to 2Jun 25, 2025 to Aug 21, 2025
- BD registered reps · 4 to 2Jun 25, 2025 to Aug 21, 2025
- Employees · 4 to 2Jun 25, 2025 to Aug 21, 2025
- State-registered IARs · 4 to 2Jun 25, 2025 to Aug 21, 2025
- Other offices · 1 to 0Jun 25, 2025 to Aug 21, 2025
- Related insurance company · true to falseJun 25, 2025 to Aug 21, 2025
- Accounts · 1,684 to 1,637May 31, 2024 to Jun 25, 2025
- HNW clients · 13 to 51May 31, 2024 to Jun 25, 2025
- Individual clients · 349 to 1,284May 31, 2024 to Jun 25, 2025
- Financial planning clients · 101-250 to 101-250May 31, 2024 to Jun 25, 2025
- Discretionary RAUM · $171M to $196MMay 31, 2024 to Jun 25, 2025
- HNW RAUM · $53.8M to $112MMay 31, 2024 to Jun 25, 2025
- Individual RAUM · $117M to $83.7MMay 31, 2024 to Jun 25, 2025
- RAUM · $171M to $196MMay 31, 2024 to Jun 25, 2025
- Accounts · 1,677 to 1,684May 30, 2023 to May 31, 2024
- HNW clients · 11 to 13May 30, 2023 to May 31, 2024
- Individual clients · 316 to 349May 30, 2023 to May 31, 2024
- Other offices · 0 to 1May 30, 2023 to May 31, 2024
- Discretionary RAUM · $157M to $171MMay 30, 2023 to May 31, 2024
- HNW RAUM · $43.6M to $53.8MMay 30, 2023 to May 31, 2024
- Individual RAUM · $114M to $117MMay 30, 2023 to May 31, 2024
- RAUM · $157M to $171MMay 30, 2023 to May 31, 2024
- Accounts · 2,039 to 1,677May 31, 2022 to May 30, 2023
- HNW clients · 10 to 11May 31, 2022 to May 30, 2023
- Individual clients · 268 to 316May 31, 2022 to May 30, 2023
- Discretionary RAUM · $158M to $157MMay 31, 2022 to May 30, 2023
- HNW RAUM · $36.9M to $43.6MMay 31, 2022 to May 30, 2023
- Individual RAUM · $122M to $114MMay 31, 2022 to May 30, 2023
- RAUM · $158M to $157MMay 31, 2022 to May 30, 2023
- Accounts · 304 to 2,039Aug 6, 2021 to May 31, 2022
- Advisory employees · 3 to 4Aug 6, 2021 to May 31, 2022
- BD registered reps · 2 to 4Aug 6, 2021 to May 31, 2022
- HNW clients · 8 to 10Aug 6, 2021 to May 31, 2022
Signals
4 dated events
- A•••• M• O•••• left C••••• F•••••••• S•••••••• I••• for F•• W••••• I•• (registered 2025-07-28)Aug 20, 2025 · Advisor changed firm · fact
- F•••• O•••• left C••••• F•••••••• S•••••••• I••• for F•• W••••• I•• (registered 2025-08-01)Aug 20, 2025 · Advisor changed firm · fact
- G•••••• S••••• B••••• (Vice President) appeared on Schedule A of C••••• F•••••••• S•••••••• I•••May 31, 2022 · Control person joined · fact
- J•••• H••• C••••• (Executrix) no longer on Schedule A of C••••• F•••••••• S•••••••• I••• (listed 2020-04-03, absent 2020-06-24)Jun 24, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- cfs@cooperfinservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-248-1972reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-287-0944reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••FINSERVICES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-248-1972reportedpublic record, Form ADV, May 26, 2026
- Contact form
- cooperfinservices.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $61.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026