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•••••• W••••• M••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Mar 27, 2012 · 26 filings
SEC status approved since Feb 14, 1997
RAUM
$683M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$658M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$683M as of Feb 25, 2026
Mar 27, 2012$115M then
HNW client RAUM$581M as of Feb 25, 2026
Mar 27, 2018$300M then
State-registered IARs (5.B.3)5 as of Feb 25, 2026
Apr 1, 20130 then
Employees (5.A)5 as of Feb 25, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 25, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $733,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $683MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$581M85%
- Individuals$77.6M11%
- Charitable organizations$17.4M2.5%
- Pension and profit-sharing plans$6.9M1.0%
- Individual clients
- 214reported
- HNW clients
- 153reported
- Pension plan clients
- 3reported
- Charitable clients
- 5reported
- Accounts
- 931reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A•• M•••••• | Guilford, Ct | Apr 17, 1997 | 37 y | 0 |
| W•••••• L•• M•••••• | Guilford, Ct | Jun 24, 2002 | 43 y | 1 |
| J•••• W• B•••Chartered Financial Analyst | Guilford, Ct | Dec 15, 2015 | 16 y | 0 |
| R•••••• E• B••••••Certified Financial Planner | Midway, Ut | Mar 24, 2021 | 18 y | 6 |
| E•••• C•••• A•••••• C•••••• | Guilford, Ct | Oct 17, 2023 | 17 y | 1 |
| E••• E•• M•••• | Guilford, Ct | Jun 4, 2026 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- E••• E•• M•••• from R••••••••• A•••••••• L••Jun 4, 2026 · RIA to RIA
- E•••• C•••• A•••••• C•••••• from C•••••• B••••• A•••••••Oct 17, 2023 · RIA to RIA
- R•••••• E• B•••••• from R•• C•••••• M••••••• L••Mar 24, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• W• · Owner/Ccocontrolsince 12/2019 · 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 |
|---|---|---|---|---|---|
| Guilford, Ct · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Midway, UT1 employees
- Westport, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 895 to 931Oct 8, 2025 to Feb 25, 2026
- Charity clients · 2 to 5Oct 8, 2025 to Feb 25, 2026
- HNW clients · 136 to 153Oct 8, 2025 to Feb 25, 2026
- Individual clients · 201 to 214Oct 8, 2025 to Feb 25, 2026
- Discretionary RAUM · $610M to $683MOct 8, 2025 to Feb 25, 2026
- HNW RAUM · $507M to $581MOct 8, 2025 to Feb 25, 2026
- Individual RAUM · $82.6M to $77.6MOct 8, 2025 to Feb 25, 2026
- Pension RAUM · $3.5M to $6.9MOct 8, 2025 to Feb 25, 2026
- RAUM · $610M to $683MOct 8, 2025 to Feb 25, 2026
- Accounts · 838 to 895Mar 19, 2024 to Feb 6, 2025
- HNW clients · 132 to 136Mar 19, 2024 to Feb 6, 2025
- Individual clients · 212 to 201Mar 19, 2024 to Feb 6, 2025
- Pension plan clients · 4 to 3Mar 19, 2024 to Feb 6, 2025
- Financial planning clients · 51-100 to 51-100Mar 19, 2024 to Feb 6, 2025
- Discretionary RAUM · $542M to $610MMar 19, 2024 to Feb 6, 2025
- HNW RAUM · $453M to $507MMar 19, 2024 to Feb 6, 2025
- Individual RAUM · $68.5M to $82.6MMar 19, 2024 to Feb 6, 2025
- Pension RAUM · $4.7M to $3.5MMar 19, 2024 to Feb 6, 2025
- RAUM · $542M to $610MMar 19, 2024 to Feb 6, 2025
- Accounts · 805 to 838Feb 27, 2023 to Mar 18, 2024
- Charity clients · 1 to 2Feb 27, 2023 to Mar 18, 2024
- HNW clients · 125 to 132Feb 27, 2023 to Mar 18, 2024
- Individual clients · 192 to 212Feb 27, 2023 to Mar 18, 2024
- Pension plan clients · 5 to 4Feb 27, 2023 to Mar 18, 2024
- Employees · 4 to 5Feb 27, 2023 to Mar 18, 2024
- Financial planning clients · 101-250 to 51-100Feb 27, 2023 to Mar 18, 2024
- State-registered IARs · 4 to 5Feb 27, 2023 to Mar 18, 2024
- Legal name · C•••••• ASSET MANAGEMENT LLC to C•••••• W••••• M••••••••• L••Feb 27, 2023 to Mar 18, 2024
- Other offices · 0 to 2Feb 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $461M to $542MFeb 27, 2023 to Mar 18, 2024
- HNW RAUM · $397M to $453MFeb 27, 2023 to Mar 18, 2024
- Individual RAUM · $58.7M to $68.5MFeb 27, 2023 to Mar 18, 2024
- Pension RAUM · $4.1M to $4.7MFeb 27, 2023 to Mar 18, 2024
- RAUM · $461M to $542MFeb 27, 2023 to Mar 18, 2024
- Corporate clients · unset to 0.0Nov 17, 2022 to Feb 27, 2023
- HNW clients · 126 to 125Nov 17, 2022 to Feb 27, 2023
- Individual clients · 175 to 192Nov 17, 2022 to Feb 27, 2023
- Pooled vehicle clients · unset to 0.0Nov 17, 2022 to Feb 27, 2023
- Financial planning clients · 26-50 to 101-250Nov 17, 2022 to Feb 27, 2023
- Other offices · 1 to 0Nov 17, 2022 to Feb 27, 2023
Signals
4 dated events
- W Jason Bear (Owner/Cco) appeared on Schedule A of C•••••• W••••• M••••••••• L••Jan 13, 2020 · Control person joined · fact
- Lee William Matthes (Member/Chief Compliance Officer) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2019-03-28, absent 2020-01-13)Jan 13, 2020 · Control person left · inference
- Ann Carolyn Matthes (Member) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2019-03-28, absent 2020-01-13)Jan 13, 2020 · Control person left · inference
- C•••••• W••••• M••••••••• L•• reported RAUM $415.0M, up 50% from $277.0M (2017-03-30 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
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
- Principal office phone
- 203-453-7000reportedpublic record, Form ADV, Feb 25, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026