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
F••••••••• B••• • C••
Latest filing Mar 17, 2026
First filing on the tape Mar 5, 2012 · 32 filings
SEC status approved since Sep 24, 1973
RAUM
$589M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
98%
$577M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$196M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$589M as of Mar 17, 2026
Mar 5, 2012$229M then
HNW client RAUM$518M as of Mar 17, 2026
Mar 29, 2018$324M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 28, 20133 then
Employees (5.A)5 as of Mar 17, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $196MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.1MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$518M88%
- Individuals$58.6M9.9%
- Charitable organizations$8.1M1.4%
- Corporations and businesses$4.0M0.7%
- Individual clients
- 184reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 253reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A••••••• K••••• | New Canaan, Ct | Jan 22, 1992 | 35 y | 0 |
| E••• B•••••• P•••••• | Darien, Ct | Oct 17, 2016 | 17 y | 1 |
| M•••••• W• C••••• | Darien, Ct | Feb 10, 2022 | 16 y | 3 |
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
- A•••••••• R••••• C•••• to O••••••• C••••••Dec 6, 2017 · Other
Joined, latest
- M•••••• W• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 10, 2022 · Wirehouse to independent RIA
- E••• B•••••• P•••••• from S•••••••• C•••••• M••••••••• C•••••••••Oct 17, 2016 · Other
- A•••••••• R••••• C•••• from M••• S••••• M••••••••• C••••••Mar 4, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• C••••••• A••••••• · Managing Directorcontrolsince 12/1998 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Darien, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 238 to 253Mar 18, 2025 to Mar 17, 2026
- Charity clients · 4 to 7Mar 18, 2025 to Mar 17, 2026
- HNW clients · 53 to 57Mar 18, 2025 to Mar 17, 2026
- Individual clients · 176 to 184Mar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $223M to $251MMar 18, 2025 to Mar 17, 2026
- HNW RAUM · $451M to $518MMar 18, 2025 to Mar 17, 2026
- Individual RAUM · $59.1M to $58.6MMar 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $298M to $338MMar 18, 2025 to Mar 17, 2026
- RAUM · $521M to $589MMar 18, 2025 to Mar 17, 2026
- Accounts · 233 to 238Dec 3, 2024 to Mar 18, 2025
- HNW clients · 54 to 53Dec 3, 2024 to Mar 18, 2025
- Individual clients · 170 to 176Dec 3, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Dec 3, 2024 to Mar 18, 2025
- Discretionary RAUM · $215M to $223MDec 3, 2024 to Mar 18, 2025
- HNW RAUM · $384M to $451MDec 3, 2024 to Mar 18, 2025
- Individual RAUM · $55.1M to $59.1MDec 3, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $234M to $298MDec 3, 2024 to Mar 18, 2025
- RAUM · $449M to $521MDec 3, 2024 to Mar 18, 2025
- Accounts · 227 to 233Nov 7, 2023 to Mar 15, 2024
- BD registered reps · 1 to 0Nov 7, 2023 to Mar 15, 2024
- Charity clients · 3 to 4Nov 7, 2023 to Mar 15, 2024
- Corporate clients · 4 to 5Nov 7, 2023 to Mar 15, 2024
- HNW clients · 61 to 54Nov 7, 2023 to Mar 15, 2024
- Individual clients · 159 to 170Nov 7, 2023 to Mar 15, 2024
- Employees · 6 to 5Nov 7, 2023 to Mar 15, 2024
- Discretionary RAUM · $196M to $215MNov 7, 2023 to Mar 15, 2024
- HNW RAUM · $317M to $384MNov 7, 2023 to Mar 15, 2024
- Individual RAUM · $39.0M to $55.1MNov 7, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $170M to $234MNov 7, 2023 to Mar 15, 2024
- RAUM · $365M to $449MNov 7, 2023 to Mar 15, 2024
- Corporate clients · 3 to 4Aug 16, 2023 to Nov 3, 2023
- Assets in custody · 9566153.0 to unsetAug 16, 2023 to Nov 3, 2023
- Custody of client assets · true to falseAug 16, 2023 to Nov 3, 2023
- Discretionary RAUM · $196M to $196MAug 16, 2023 to Nov 3, 2023
- HNW RAUM · $317M to $317MAug 16, 2023 to Nov 3, 2023
- Non-discretionary RAUM · $170M to $170MAug 16, 2023 to Nov 3, 2023
- RAUM · $365M to $365MAug 16, 2023 to Nov 3, 2023
- HNW clients · 59 to 61May 25, 2023 to Aug 16, 2023
- Assets in custody · $9.2M to $9.6MMay 25, 2023 to Aug 16, 2023
- Accounts · 219 to 227Mar 22, 2023 to Mar 30, 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
- Business email
- c••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-777-5900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-777-5911reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/F••••••••B•••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••••••B•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-777-5900reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $196Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026