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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Former SEC-registered adviser

F•••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserWallingford, ConnecticutCRD 105484SEC 801-29581IAPD
Latest filing Mar 8, 2017
First filing on the tape Mar 14, 2012 · 10 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.6B as of Mar 8, 2017
Mar 14, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2017
Mar 14, 20120 then
Employees (5.A)7 as of Mar 8, 2017
Mar 27, 20137 then
Private funds: no history
RAUM +1.4% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$294MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• C••••••••• A•••• · Chairmancontrol
        since 03/2011 · owns less than 5%
      • D••••• J•••• K•••• · Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • G••••• W••••• A••• · Presidentcontrol
        since 01/2014 · owns less than 5%
      • P•••• D••••• L•• · Treasurercontrol
        since 01/2015 · owns less than 5%
      • B••••• P•••••• C•••••• · Director
        since 12/2010 · owns less than 5%
      • D•••••••• M••••••• J••••• · Vice President And Director
        since 09/2015 · owns less than 5%
      • P•••••• K•••••••• A••• · Secretary
        since 03/2011 · owns less than 5%
      Entity owners
      • O••• N••••••• F•••••••• S•••••••• I••• · O••• N••••••• F•••••••• S•••••••• I•••
        direct · owns 75% or more
      • O••• N••••••• M••••• H•••••••• I••• · Indirect
        indirect · owns 75% or more of O••• N••••••• F•••••••• S•••••••• I•••
      Related persons
      Schedule D 7.A
      • C•••••• R• C••••••• I•••
        real estaten
      • K•••••• R•• I•••
        real estaten
      • M••••••••• R•• I•••
        real estaten
      • N••••••• S••••••• L••• A•• A•••••• C••••••
        real estaten
      • O••• I••••••••• D• B•••••
        real estaten
      • O••• N••••••• E•••••••• I•••
        broker-dealern
      • O••• N••••••• I•••••••• A••••• O• A••••••• I•••
        real estaten
      • O••• N••••••• I•••••••• A•••••• I•••
        real estaten
      • Constellation Investments, Inc.
        investment adviserbanknRAUM $31B
      • O••• N••••••• L••• A•••••••• C•••••••••
        real estaten
      • O••• N••••••• S•••••• D• V••• S••• ••••••
        real estaten
      • O••• N••••••• S•••••• D• V••• S••• •••••
        real estaten
      • O• I••••••••• M••••••••• C•
        investment advisernRAUM $3.2B
      • S••••••• R•• L•••
        real estaten
      • T•• O••• E••••• S•••• C••••••
        broker-dealern
      • T•• O••• N••••••• L••• I•••••••• C••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 9
        Mar 2, 2016 to Mar 8, 2017
      • Discretionary RAUM · $2.5B to $2.6B
        Mar 2, 2016 to Mar 8, 2017
      • Non-discretionary RAUM · $82.4M to $54.0M
        Mar 2, 2016 to Mar 8, 2017
      • RAUM · $2.6B to $2.6B
        Mar 2, 2016 to Mar 8, 2017
      • Accounts · 11 to 10
        Nov 18, 2015 to Mar 2, 2016
      • Discretionary RAUM · $2.3B to $2.5B
        Nov 18, 2015 to Mar 2, 2016
      • Non-discretionary RAUM · $951M to $82.4M
        Nov 18, 2015 to Mar 2, 2016
      • RAUM · $3.3B to $2.6B
        Nov 18, 2015 to Mar 2, 2016
      • Accounts · 10 to 11
        Mar 26, 2014 to Mar 13, 2015
      • Discretionary RAUM · $2.5B to $2.3B
        Mar 26, 2014 to Mar 13, 2015
      • Non-discretionary RAUM · $1.0B to $951M
        Mar 26, 2014 to Mar 13, 2015
      • RAUM · $3.5B to $3.3B
        Mar 26, 2014 to Mar 13, 2015
      • Accounts · 351 to 10
        Jul 2, 2013 to Mar 26, 2014
      • Discretionary RAUM · $2.3B to $2.5B
        Jul 2, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $881M to $1.0B
        Jul 2, 2013 to Mar 26, 2014
      • RAUM · $3.2B to $3.5B
        Jul 2, 2013 to Mar 26, 2014
      • Accounts · 347 to 351
        Apr 17, 2012 to Mar 27, 2013
      • Advisory employees · unset to 6.0
        Apr 17, 2012 to Mar 27, 2013
      • Employees · unset to 7.0
        Apr 17, 2012 to Mar 27, 2013
      • Discretionary RAUM · $2.0B to $2.3B
        Apr 17, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $874M to $881M
        Apr 17, 2012 to Mar 27, 2013
      • RAUM · $2.9B to $3.2B
        Apr 17, 2012 to Mar 27, 2013
      • Related bank · false to true
        Apr 17, 2012 to Mar 27, 2013
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026