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•••••• R••••••• • I••••••••• G•••• I••
Latest filing Mar 30, 2026
First filing on the tape Feb 7, 2012 · 20 filings
SEC status approved since Sep 28, 1990
RAUM
$275M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$269M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$68.8M
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
20 filings and snapshots on the tape
RAUM$275M as of Mar 30, 2026
Mar 26, 2012$172M then
HNW client RAUM$230M as of Mar 30, 2026
Mar 28, 2018$152M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +8.1% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $775,011derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $85.0M, 80 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$230M84%
- Individuals$38.6M14%
- Charitable organizations$4.6M1.7%
- Pension and profit-sharing plans$1.3M0.5%
- Corporations and businesses$326,7920.1%
- Individual clients
- 83reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 355reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.0M for 80 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• M••••••• L•••••• | Southport, Ct | Oct 17, 1990 | 38 y | 0 |
| P•••••• J••• C•••• | Southport, Ct | Mar 8, 1996 | 33 y | 0 |
| W•••••• H••••••••• D••• | Southport, Ct | Jul 21, 2003 | n/a | 0 |
| M•••••• J•••• G••••••Chartered Financial Analyst | Southport, Ct | Mar 4, 2013 | 30 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
- D•••••• W•••••• S••• to S•••••••• A••••••• L••Feb 3, 2012 · Other
Joined, latest
- D•••••• W•••••• S••• from C•••••• S••••• • C••• I•••Jan 18, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• P••••••• J••• · President, Chief Compliance Officer, Treasurercontrolsince 03/2021 · owns 75% or more
- G••••••• M••••••• J•••• · Vice President And Secretarycontrolsince 03/2021 · 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 |
|---|---|---|---|---|---|
| Southport, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 360 to 355Mar 28, 2025 to Mar 30, 2026
- HNW clients · 72 to 75Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $70.3M to $85.0MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $254M to $275MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $212M to $230MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $36.7M to $38.6MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $1.1M to $1.3MMar 28, 2025 to Mar 30, 2026
- RAUM · $254M to $275MMar 28, 2025 to Mar 30, 2026
- Accounts · 375 to 360Mar 28, 2024 to Mar 28, 2025
- HNW clients · 68 to 72Mar 28, 2024 to Mar 28, 2025
- Individual clients · 87 to 83Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $60.2M to $70.3MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $244M to $254MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $196M to $212MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $42.0M to $36.7MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $1.0M to $1.1MMar 28, 2024 to Mar 28, 2025
- RAUM · $244M to $254MMar 28, 2024 to Mar 28, 2025
- Accounts · 368 to 375Mar 31, 2023 to Mar 28, 2024
- HNW clients · 59 to 68Mar 31, 2023 to Mar 28, 2024
- Individual clients · 94 to 87Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $65.8M to $60.2MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $216M to $244MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $166M to $196MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $45.1M to $42.0MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $916,459 to $1.0MMar 31, 2023 to Mar 28, 2024
- RAUM · $216M to $244MMar 31, 2023 to Mar 28, 2024
- Accounts · 371 to 368Mar 30, 2022 to Mar 31, 2023
- HNW clients · 68 to 59Mar 30, 2022 to Mar 31, 2023
- Individual clients · 91 to 94Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $80.7M to $65.8MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $250M to $216MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $198M to $166MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $45.6M to $45.1MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $927,608 to $916,459Mar 30, 2022 to Mar 31, 2023
- RAUM · $250M to $216MMar 30, 2022 to Mar 31, 2023
- Accounts · 373 to 371Apr 23, 2021 to Mar 30, 2022
- HNW clients · 65 to 68Apr 23, 2021 to Mar 30, 2022
- Individual clients · 98 to 91Apr 23, 2021 to Mar 30, 2022
- Assets in custody · $76.7M to $80.7MApr 23, 2021 to Mar 30, 2022
Signals
2 dated events
- James Michael Grennan (Vice President And Secretary) appeared on Schedule A of C•••••• R••••••• • I••••••••• G•••• I••Apr 23, 2021 · Control person joined · fact
- Mastroni Paula Luciani (President) no longer on Schedule A of C•••••• R••••••• • I••••••••• G•••• I•• (listed 2021-03-30, absent 2021-04-23)Apr 23, 2021 · Control person left · inference
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
- t•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-259-4004reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-259-6941reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••INVESTMENTGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-259-4004reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $68.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026