DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••••• F•••••••• G•••• I••
Latest filing Feb 4, 2026
First filing on the tape Feb 29, 2012 · 29 filings
SEC status approved since Jul 14, 1989
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.0B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$207M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.0B as of Feb 4, 2026
Feb 29, 2012$438M then
HNW client RAUM$950M as of Feb 4, 2026
Mar 10, 2018$562M then
State-registered IARs (5.B.3)5 as of Feb 4, 2026
Feb 29, 20120 then
Employees (5.A)7 as of Feb 4, 2026
Feb 21, 20136 then
Private funds: no history
RAUM +9.9% over the last fiscal year+13% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Feb 4, 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
- $207MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $473M, 176 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$950M92%
- Individuals$50.6M4.9%
- Pension and profit-sharing plans$18.4M1.8%
- Charitable organizations$12.9M1.2%
- Corporations and businesses$3.8M0.4%
- Individual clients
- 130reported
- HNW clients
- 180reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 904reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $473M for 176 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• B• F•••••••Certified Financial Planner | West Hartford, Ct | Oct 18, 1989 | 37 y | 0 |
| B•••• F•••••••Certified Financial Planner | West Hartford, Ct | May 31, 1991 | 35 y | 0 |
| W•••••• N••••• F•••••••Certified Financial Planner | West Hartford, Ct | May 28, 2024 | 10 y | 0 |
| M•• H••••••• A••••Certified Financial Planner | West Hartford, Ct | May 31, 2024 | 15 y | 0 |
| M•••••• N••••• F•••••••Certified Financial Planner | West Hartford, Ct | May 7, 2025 | 10 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• B•••• · Co-Presidentcontrolsince 12/2016 · owns 50% to 75%
- F•••••••• S•••• B• · Co-President (12/2016) Chief Compliance Officer (10/2004)controlsince 10/2004 · owns 50% to 75%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 932 to 904May 21, 2025 to Feb 4, 2026
- Advisory employees · 4 to 5May 21, 2025 to Feb 4, 2026
- Corporate clients · 6 to 5May 21, 2025 to Feb 4, 2026
- HNW clients · 173 to 180May 21, 2025 to Feb 4, 2026
- Individual clients · 141 to 130May 21, 2025 to Feb 4, 2026
- Assets in custody · $435M to $473MMay 21, 2025 to Feb 4, 2026
- State-registered IARs · 4 to 5May 21, 2025 to Feb 4, 2026
- Discretionary RAUM · $943M to $1.0BMay 21, 2025 to Feb 4, 2026
- HNW RAUM · $850M to $950MMay 21, 2025 to Feb 4, 2026
- Individual RAUM · $57.4M to $50.6MMay 21, 2025 to Feb 4, 2026
- Pension RAUM · $16.3M to $18.4MMay 21, 2025 to Feb 4, 2026
- RAUM · $943M to $1.0BMay 21, 2025 to Feb 4, 2026
- Financial planning clients · 251-500 to 251-500Feb 13, 2025 to May 21, 2025
- Assets in custody · $387M to $435MMar 8, 2024 to Feb 13, 2025
- Employees · 6 to 7Mar 8, 2024 to Feb 13, 2025
- State-registered IARs · 2 to 4Mar 8, 2024 to Feb 13, 2025
- Discretionary RAUM · $836M to $943MMar 8, 2024 to Feb 13, 2025
- HNW RAUM · $733M to $850MMar 8, 2024 to Feb 13, 2025
- Individual RAUM · $59.8M to $57.4MMar 8, 2024 to Feb 13, 2025
- Pension RAUM · $14.5M to $16.3MMar 8, 2024 to Feb 13, 2025
- RAUM · $836M to $943MMar 8, 2024 to Feb 13, 2025
- Accounts · 941 to 932Mar 8, 2024 to Feb 13, 2025
- Advisory employees · 2 to 4Mar 8, 2024 to Feb 13, 2025
- HNW clients · 166 to 173Mar 8, 2024 to Feb 13, 2025
- Individual clients · 143 to 141Mar 8, 2024 to Feb 13, 2025
- Accounts · 922 to 941Mar 4, 2023 to Mar 7, 2024
- HNW clients · 148 to 166Mar 4, 2023 to Mar 7, 2024
- Individual clients · 157 to 143Mar 4, 2023 to Mar 7, 2024
- Assets in custody · $286M to $387MMar 4, 2023 to Mar 7, 2024
- Employees · 7 to 6Mar 4, 2023 to Mar 7, 2024
- Discretionary RAUM · $718M to $836MMar 4, 2023 to Mar 7, 2024
- HNW RAUM · $617M to $733MMar 4, 2023 to Mar 7, 2024
- Individual RAUM · $57.9M to $59.8MMar 4, 2023 to Mar 7, 2024
- Pension RAUM · $12.6M to $14.5MMar 4, 2023 to Mar 7, 2024
- RAUM · $718M to $836MMar 4, 2023 to Mar 7, 2024
- Accounts · 910 to 922Mar 16, 2022 to Feb 17, 2023
- Advisory employees · 3 to 2Mar 16, 2022 to Feb 17, 2023
- HNW clients · 160 to 148Mar 16, 2022 to Feb 17, 2023
- Individual clients · 142 to 157Mar 16, 2022 to Feb 17, 2023
- Assets in custody · $339M to $286MMar 16, 2022 to Feb 17, 2023
Signals
No event on the tape.
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
- Website
- F•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 860-521-2100reportedpublic record, Form ADV, Feb 4, 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
- $207Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026