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
O•• F•••••••• G•••• I••
Latest filing Mar 17, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Mar 6, 1992
RAUM
$177M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$169M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$177M as of Mar 17, 2026
Mar 28, 2012$303M then
HNW client RAUM$130M as of Mar 17, 2026
Mar 28, 2018$158M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 18, 20133 then
Employees (5.A)4 as of Mar 17, 2026
Mar 18, 20137 then
Private funds: no history
RAUM +21% over the last fiscal year+6.9% a year over threeIARs 2 to 2
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
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M73%
- Individuals$38.9M22%
- Pension and profit-sharing plans$8.5M4.8%
- Individual clients
- 42reported
- HNW clients
- 80reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 138reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• D•••• H•••••• | Stamford, Ct | Mar 27, 1992 | 40 y | 0 |
| K••• E•••• P••••• | Stamford, Ct | Apr 19, 2007 | 20 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
- G•••• R• E••••••••• to T• A••••••••• I••••••••• M••••••••• L••Jan 13, 2017 · Other
Joined, latest
- G•••• R• E••••••••• from P••••••• A••••••••• L•••Aug 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• N•••• D•••• · President, Cio, Ceo & Ownercontrolsince 02/1990 · owns 75% or more
- H••••••• M••••• · Secretarysince 02/1990 · owns less than 5%
- M•••••• K••••••• P••••• · Chief Operations Officer & Chief Compliance Officersince 12/2005 · owns less than 5%
- P•••••• K•••• E•••• · Co-Chief Investment Officersince 01/2011 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Stamford, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 133 to 138Mar 26, 2025 to Mar 17, 2026
- Pension plan clients · 11 to 9Mar 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $145M to $175MMar 26, 2025 to Mar 17, 2026
- HNW RAUM · $118M to $130MMar 26, 2025 to Mar 17, 2026
- Individual RAUM · $21.1M to $38.9MMar 26, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $1.6M to $2.1MMar 26, 2025 to Mar 17, 2026
- Pension RAUM · $7.3M to $8.5MMar 26, 2025 to Mar 17, 2026
- RAUM · $147M to $177MMar 26, 2025 to Mar 17, 2026
- Accounts · 139 to 133Mar 21, 2024 to Mar 26, 2025
- HNW clients · 82 to 80Mar 21, 2024 to Mar 26, 2025
- Individual clients · 43 to 42Mar 21, 2024 to Mar 26, 2025
- Pension plan clients · 14 to 11Mar 21, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Mar 26, 2025
- HQ city · unset to Mar 21, 2024 to Mar 26, 2025
- HQ state · unset to Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $139M to $145MMar 21, 2024 to Mar 26, 2025
- HNW RAUM · $112M to $118MMar 21, 2024 to Mar 26, 2025
- Individual RAUM · $20.7M to $21.1MMar 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.7M to $1.6MMar 21, 2024 to Mar 26, 2025
- Pension RAUM · $8.0M to $7.3MMar 21, 2024 to Mar 26, 2025
- RAUM · $141M to $147MMar 21, 2024 to Mar 26, 2025
- Accounts · 151 to 139Mar 24, 2023 to Mar 21, 2024
- HNW clients · 92 to 82Mar 24, 2023 to Mar 21, 2024
- Individual clients · 39 to 43Mar 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $144M to $139MMar 24, 2023 to Mar 21, 2024
- HNW RAUM · $118M to $112MMar 24, 2023 to Mar 21, 2024
- Individual RAUM · $19.6M to $20.7MMar 24, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $885,001 to $1.7MMar 24, 2023 to Mar 21, 2024
- Pension RAUM · $7.5M to $8.0MMar 24, 2023 to Mar 21, 2024
- RAUM · $145M to $141MMar 24, 2023 to Mar 21, 2024
- Accounts · 154 to 151Mar 24, 2022 to Mar 24, 2023
- HNW clients · 93 to 92Mar 24, 2022 to Mar 24, 2023
- Individual clients · 42 to 39Mar 24, 2022 to Mar 24, 2023
- Pension plan clients · 19 to 14Mar 24, 2022 to Mar 24, 2023
- Discretionary RAUM · $158M to $144MMar 24, 2022 to Mar 24, 2023
- HNW RAUM · $130M to $118MMar 24, 2022 to Mar 24, 2023
- Individual RAUM · $21.4M to $19.6MMar 24, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $565,146 to $885,001Mar 24, 2022 to Mar 24, 2023
- Pension RAUM · $7.6M to $7.5MMar 24, 2022 to Mar 24, 2023
- RAUM · $159M to $145MMar 24, 2022 to Mar 24, 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
- kori@oakfingroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-329-9043reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-968-9152reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-322-1479reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-329-9043reportedpublic record, Form ADV, Mar 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
- $88.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026