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

N•• E•••••• G•••• W••••• A•••••••• I•••

Former SEC-registered adviserAvon, ConnecticutCRD 106400SEC 801-39648IAPD
Latest filing Jan 27, 2023
First filing on the tape Mar 28, 2012 · 27 filings
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$385M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$397M as of Mar 11, 2022
Mar 28, 2012$273M then
HNW client RAUM$358M as of Mar 11, 2022
Mar 8, 2018$335M then
State-registered IARs (5.B.3)4 as of Mar 11, 2022
Mar 28, 20120 then
Employees (5.A)7 as of Mar 11, 2022
Mar 28, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 27, 2023; every figure names its basis
RAUM per advisor
$99.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$553,825derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 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
+0.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$24.3M, 23 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$358M90%
  • Individuals$26.9M6.8%
  • Charitable organizations$11.9M3.0%
Individual clients
64reported
HNW clients
116reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
716reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$24.3M for 23 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• B••••••• F•••••• · Principal, Corporate Secretarycontrol
        since 02/2020 · owns less than 5%
      • G••••••• S••••• M••• · Principalcontrol
        since 10/2016 · owns less than 5%
      • L••••• E•••••• P•••••• · Principal, Cfo, President, Directorcontrol
        since 07/1995 · owns 75% or more
      • P•••••••• W••••••• R••••• · Principal, Ccocontrol
        since 02/2020 · owns less than 5%
      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 · 184 to 716
        Mar 18, 2021 to Mar 11, 2022
      • HNW clients · 112 to 116
        Mar 18, 2021 to Mar 11, 2022
      • Individual clients · 67 to 64
        Mar 18, 2021 to Mar 11, 2022
      • Assets in custody · $20.3M to $24.3M
        Mar 18, 2021 to Mar 11, 2022
      • Employees · 6 to 7
        Mar 18, 2021 to Mar 11, 2022
      • Discretionary RAUM · $352M to $397M
        Mar 18, 2021 to Mar 11, 2022
      • HNW RAUM · $314M to $358M
        Mar 18, 2021 to Mar 11, 2022
      • Individual RAUM · $27.2M to $26.9M
        Mar 18, 2021 to Mar 11, 2022
      • RAUM · $352M to $397M
        Mar 18, 2021 to Mar 11, 2022
      • Accounts · 179 to 184
        Jul 22, 2020 to Mar 5, 2021
      • HNW clients · 111 to 112
        Jul 22, 2020 to Mar 5, 2021
      • Individual clients · 63 to 67
        Jul 22, 2020 to Mar 5, 2021
      • Assets in custody · $19.7M to $20.3M
        Jul 22, 2020 to Mar 5, 2021
      • Discretionary RAUM · $329M to $352M
        Jul 22, 2020 to Mar 5, 2021
      • HNW RAUM · $296M to $314M
        Jul 22, 2020 to Mar 5, 2021
      • Individual RAUM · $23.3M to $27.2M
        Jul 22, 2020 to Mar 5, 2021
      • RAUM · $329M to $352M
        Jul 22, 2020 to Mar 5, 2021
      • Charity clients · 9 to 5
        Nov 21, 2019 to Mar 3, 2020
      • HNW clients · 94 to 111
        Nov 21, 2019 to Mar 3, 2020
      • Individual clients · 76 to 63
        Nov 21, 2019 to Mar 3, 2020
      • Assets in custody · $26.1M to $19.7M
        Nov 21, 2019 to Mar 3, 2020
      • Discretionary RAUM · $279M to $329M
        Nov 21, 2019 to Mar 3, 2020
      • HNW RAUM · $235M to $296M
        Nov 21, 2019 to Mar 3, 2020
      • Individual RAUM · $30.4M to $23.3M
        Nov 21, 2019 to Mar 3, 2020
      • RAUM · $279M to $329M
        Nov 21, 2019 to Mar 3, 2020
      • Accounts · 241 to 179
        May 2, 2018 to Mar 11, 2019
      • Advisory employees · 5 to 4
        May 2, 2018 to Mar 11, 2019
      • Charity clients · 11 to 9
        May 2, 2018 to Mar 11, 2019
      • HNW clients · 135 to 94
        May 2, 2018 to Mar 11, 2019
      • Individual clients · 95 to 76
        May 2, 2018 to Mar 11, 2019
      • Assets in custody · $41.1M to $26.1M
        May 2, 2018 to Mar 11, 2019
      • Employees · 5 to 6
        May 2, 2018 to Mar 11, 2019
      • State-registered IARs · 5 to 4
        May 2, 2018 to Mar 11, 2019
      • Discretionary RAUM · $393M to $279M
        May 2, 2018 to Mar 11, 2019
      • HNW RAUM · $335M to $235M
        May 2, 2018 to Mar 11, 2019
      • Individual RAUM · $37.3M to $30.4M
        May 2, 2018 to Mar 11, 2019
      • Non-discretionary RAUM · $322,054 to $0
        May 2, 2018 to Mar 11, 2019
      • RAUM · $394M to $279M
        May 2, 2018 to Mar 11, 2019
      • Accounts · 238 to 241
        Nov 16, 2017 to Mar 8, 2018
      • Charity clients · unset to 11.0
        Nov 16, 2017 to Mar 8, 2018
      Signals
      7 dated events
      • A•••••••• R••••• R•••••• left N•• E•••••• G•••• W••••• A•••••••• I••• for C••••••••• W••••• M••••••••• L•• (registered 2023-02-07)
        Dec 31, 2022 · Advisor changed firm · fact
      • W•••••• R••••• P••••••• left N•• E•••••• G•••• W••••• A•••••••• I••• for R••••••••• W••••• A••••••• L•• (registered 2023-02-23)
        Dec 31, 2022 · Advisor changed firm · fact
      • B•••••• F•••••• F••••••••• left N•• E•••••• G•••• W••••• A•••••••• I••• for C••••••••• W••••• M••••••••• L•• (registered 2023-02-08)
        Dec 31, 2022 · Advisor changed firm · fact
      • 2 advisors left N•• E•••••• G•••• W••••• A•••••••• I••• (Hartford, CT) for C••••••••• W••••• M••••••••• L•• on the same day
        Dec 31, 2022 · Team lift-out · derived
      • Francis Brendan Fitzgerald (Principal, Corporate Secretary) appeared on Schedule A of N•• E•••••• G•••• W••••• A•••••••• I•••
        Mar 3, 2020 · Control person joined · fact
      • R••••• W•••••• P••••••• (Principal, Cco) appeared on Schedule A of N•• E•••••• G•••• W••••• A•••••••• I•••
        Mar 3, 2020 · Control person joined · fact
      • N•• E•••••• G•••• W••••• A•••••••• I••• reported RAUM $279.5M, down 29% from $393.8M (2018-05-02 to 2019-03-11)
        Mar 11, 2019 · 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.
      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