DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•• I••••••••• A•••••••
Legal name R•••••••• M••••••••• C•••
Latest filing Apr 29, 2026
First filing on the tape Feb 9, 2012 · 39 filings
SEC status approved since Aug 24, 1984
RAUM
$1.1B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
81%
$863M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.1B as of Apr 29, 2026
Feb 9, 2012$432M then
HNW client RAUM$794M as of Apr 29, 2026
Mar 28, 2018$459M then
State-registered IARs (5.B.3)7 as of Apr 29, 2026
Feb 9, 20120 then
Employees (5.A)14 as of Apr 29, 2026
Feb 20, 20135 then
Private funds: no history
RAUM +8.1% over the last fiscal year+7.8% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $363M, 123 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$794M74%
- Corporations and businesses$147M14%
- Individuals$68.2M6.4%
- Charitable organizations$41.5M3.9%
- State and municipal entities$8.8M0.8%
- Pension and profit-sharing plans$7.2M0.7%
- Individual clients
- 186reported
- HNW clients
- 160reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 865reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $363M for 123 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••••• H•••••• | West Hartford, Ct | Jan 3, 2005 | 28 y | 0 |
| W•••••• T••••• H••••••Chartered Financial Analyst | West Hartford, Ct | Oct 13, 2017 | 14 y | 0 |
| A•••• L•••••• P•••••• | West Hartford, Ct | Jun 25, 2019 | 11 y | 0 |
| C••••• E••• D•••• | West Hartford, Ct | Feb 8, 2021 | 10 y | 0 |
| P•••••• M•••••• H•••••• | West Hartford, Ct | May 26, 2021 | 13 y | 0 |
| L•••• P•••••• F••••• | West Hartford, Ct | Jan 10, 2025 | 11 y | 0 |
| C•••• A•• H•••• | West Hartford, Ct | Jun 23, 2025 | 22 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- M•••••• O••• S••••••• to G••• L•••• A•••••••• L••Oct 31, 2025 · RIA to RIA
- M•••••• B•••• T•••••• to A••••••• C•••••• M••••••••• L••Feb 3, 2020 · RIA to RIA
Joined, latest
- M•••••• O••• S••••••• from T•••• A••••••• G•••• L••Feb 5, 2024 · RIA to RIA
- M•••••• B•••• T•••••• from B•••••• F••••• • S•••••• I••Mar 21, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• W•••••• · President/ Ceocontrolsince 01/2005 · owns 75% or more
- H••••••• W••••••• T••••• · Chief Compliance Officer/ Coocontrolsince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Hartford, Ct · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 852 to 865Mar 20, 2025 to Mar 12, 2026
- HNW clients · 176 to 160Mar 20, 2025 to Mar 12, 2026
- Individual clients · 183 to 186Mar 20, 2025 to Mar 12, 2026
- Assets in custody · $337M to $363MMar 20, 2025 to Mar 12, 2026
- Discretionary RAUM · $907M to $999MMar 20, 2025 to Mar 12, 2026
- HNW RAUM · $706M to $794MMar 20, 2025 to Mar 12, 2026
- Individual RAUM · $71.3M to $68.2MMar 20, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $79.8M to $68.3MMar 20, 2025 to Mar 12, 2026
- Pension RAUM · $6.9M to $7.2MMar 20, 2025 to Mar 12, 2026
- RAUM · $987M to $1.1BMar 20, 2025 to Mar 12, 2026
- Accounts · 828 to 852Mar 26, 2024 to Mar 20, 2025
- Charity clients · 9 to 7Mar 26, 2024 to Mar 20, 2025
- Corporate clients · 27 to 26Mar 26, 2024 to Mar 20, 2025
- HNW clients · 169 to 176Mar 26, 2024 to Mar 20, 2025
- Individual clients · 180 to 183Mar 26, 2024 to Mar 20, 2025
- Pension plan clients · 3 to 2Mar 26, 2024 to Mar 20, 2025
- Assets in custody · $304M to $337MMar 26, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $863M to $907MMar 26, 2024 to Mar 20, 2025
- HNW RAUM · $652M to $706MMar 26, 2024 to Mar 20, 2025
- Individual RAUM · $71.2M to $71.3MMar 26, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $87.5M to $79.8MMar 26, 2024 to Mar 20, 2025
- Pension RAUM · $7.4M to $6.9MMar 26, 2024 to Mar 20, 2025
- RAUM · $951M to $987MMar 26, 2024 to Mar 20, 2025
- Accounts · 826 to 828Dec 8, 2023 to Mar 26, 2024
- Charity clients · 8 to 9Dec 8, 2023 to Mar 26, 2024
- HNW clients · 154 to 169Dec 8, 2023 to Mar 26, 2024
- Individual clients · 198 to 180Dec 8, 2023 to Mar 26, 2024
- Pension plan clients · 4 to 3Dec 8, 2023 to Mar 26, 2024
- Assets in custody · $307M to $304MDec 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $772M to $863MDec 8, 2023 to Mar 26, 2024
- HNW RAUM · $554M to $652MDec 8, 2023 to Mar 26, 2024
- Individual RAUM · $77.7M to $71.2MDec 8, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $80.3M to $87.5MDec 8, 2023 to Mar 26, 2024
- Pension RAUM · $11.3M to $7.4MDec 8, 2023 to Mar 26, 2024
- RAUM · $852M to $951MDec 8, 2023 to Mar 26, 2024
- Accounts · 811 to 826Mar 3, 2022 to Mar 21, 2023
- Corporate clients · 25 to 27Mar 3, 2022 to Mar 21, 2023
- HNW clients · 168 to 154Mar 3, 2022 to Mar 21, 2023
- Individual clients · 187 to 198Mar 3, 2022 to Mar 21, 2023
Signals
4 dated events
- M•••••• O••• S••••••• left R•• I••••••••• A••••••• for G••• L•••• A•••••••• L•• (registered 2025-12-01)Oct 31, 2025 · Advisor changed firm · fact
- Bouchard Donna Flamio (Svp/Director) no longer on Schedule A of R•• I••••••••• A••••••• (listed 2023-12-08, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Maxmillian Frank Loehmann (Chairman//Director) no longer on Schedule A of R•• I••••••••• A••••••• (listed 2022-03-03, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- Tommaso Modugno (Chief Compliance Officer) no longer on Schedule A of R•• I••••••••• A••••••• (listed 2018-12-10, absent 2019-03-26)Mar 26, 2019 · 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 phone
- 860-561-1245reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rmc-investment-advisorsreportedpublic record, Form ADV, Sep 21, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 860-561-1245reportedpublic record, Form ADV, Apr 29, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026