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•••••• I••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 3, 2012 · 16 filings
SEC status approved since Jul 21, 1994
RAUM
$524M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
96%
$505M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$524M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$524M as of Mar 31, 2026
Apr 3, 2012$191M then
HNW client RAUM$151M as of Mar 31, 2026
Mar 28, 2018$65.3M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Apr 3, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Apr 3, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $524MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $6.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- -4.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $397M, 24 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$354M68%
- High-net-worth individuals$151M29%
- Charitable organizations$19.0M3.6%
- Individual clients
- 17reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 83reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $397M for 24 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A••• P•••••• | West Hartford, Ct | Jul 26, 1994 | 35 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
- P••••••• C••••••• A••• · President/Chief Compliance Officercontrolsince 11/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 85 to 83Mar 14, 2025 to Mar 31, 2026
- HNW clients · 27 to 24Mar 14, 2025 to Mar 31, 2026
- Individual clients · 16 to 17Mar 14, 2025 to Mar 31, 2026
- Assets in custody · $362M to $397MMar 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $105M to $141MMar 14, 2025 to Mar 31, 2026
- HNW RAUM · $144M to $151MMar 14, 2025 to Mar 31, 2026
- Individual RAUM · $305M to $354MMar 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $361M to $383MMar 14, 2025 to Mar 31, 2026
- RAUM · $466M to $524MMar 14, 2025 to Mar 31, 2026
- Accounts · 88 to 85Mar 28, 2024 to Mar 14, 2025
- Advisory activities · 1 to 2Mar 28, 2024 to Mar 14, 2025
- Charity clients · 3.0 to unsetMar 28, 2024 to Mar 14, 2025
- Assets in custody · $337M to $362MMar 28, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 14, 2025
- Discretionary RAUM · $83.3M to $105MMar 28, 2024 to Mar 14, 2025
- HNW RAUM · $117M to $144MMar 28, 2024 to Mar 14, 2025
- Individual RAUM · $281M to $305MMar 28, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $330M to $361MMar 28, 2024 to Mar 14, 2025
- RAUM · $413M to $466MMar 28, 2024 to Mar 14, 2025
- Accounts · 56 to 88Mar 31, 2023 to Mar 28, 2024
- Charity clients · 2 to 3Mar 31, 2023 to Mar 28, 2024
- HNW clients · 24 to 27Mar 31, 2023 to Mar 28, 2024
- Individual clients · 6 to 16Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $180M to $337MMar 31, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $78.9M to $83.3MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $134M to $117MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $212M to $281MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $279M to $330MMar 31, 2023 to Mar 28, 2024
- RAUM · $358M to $413MMar 31, 2023 to Mar 28, 2024
- Accounts · 55 to 56Mar 30, 2022 to Mar 31, 2023
- HNW clients · 44 to 24Mar 30, 2022 to Mar 31, 2023
- Individual clients · 9 to 6Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $231M to $180MMar 30, 2022 to Mar 31, 2023
- Financial planning clients · 0 to unsetMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $98.6M to $78.9MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $125M to $134MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $276M to $212MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $318M to $279MMar 30, 2022 to Mar 31, 2023
- RAUM · $417M to $358MMar 30, 2022 to Mar 31, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••• I••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 860-761-1041reportedpublic record, Form ADV, Mar 31, 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
- $524Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026