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

L••••••• A••••••• I••

Former SEC-registered adviserSimsbury, ConnecticutCRD 107278SEC 801-40257IAPD
Latest filing Jul 26, 2018
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$7.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
101
56 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$4.3M gross assets
History
14 filings and snapshots on the tape
RAUM$7.9M as of Mar 1, 2018
Mar 30, 2012$38.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 1, 2018
Mar 30, 20120 then
Employees (5.A)101 as of Mar 1, 2018
Mar 28, 201348 then
Private funds1 as of Mar 1, 2018
Mar 30, 20125 then
RAUM -54% over the last fiscal year-36% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jul 26, 2018; every figure names its basis
RAUM per advisor
$7.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$7.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
101.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$7.9M, 1 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
  • Pooled investment vehicles$7.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$7.9M for 1 clientsreported
Compensation
performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••• E••••• P••••••• V• L•••Private Equity Fund$4.3M34Mar 30, 2012
      L••••••• E••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$2.0M56Mar 30, 2012
      L••••••• E••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$1.7M46Mar 30, 2012
      L••••••• M•••••••• P•••••••• L•••Private Equity Fund$1.4M1Mar 30, 2012
      L••••••• E••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$67,08229Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• F••••••••• L•••• · Ceocontrol
        since 07/2005 · owns less than 5%
      • H•••••••• T••••••• L•••••• · Vice President, Secretary, Treasurer, Directorcontrol
        since 10/1991 · owns 10% to 25%
      • L••••••• A••••••••• C•••••• · Chief Compliance Officercontrol
        since 12/2006 · owns less than 5%
      • M••••••••• J••••• P•••••• · Vice President, Directorcontrol
        since 10/1995 · owns less than 5%
      • N••••••• B••••• R• · Vice President, Directorcontrol
        since 01/1992 · owns 25% to 50%
      • S•••••••• C••••••••• E••••• · Vice Presidentcontrol
        since 10/2004 · owns less than 5%
      • B•••••• F••••••••• L•••• · Chairman/Ceocontrol
        since 03/1999 · owns 25% to 50% of L••••••• P••••••• I•••
      • H•••••••• T••••••• L•••••• · Presidentcontrol
        since 12/1989 · owns 25% to 50% of L••••••• P••••••• I•••
      Entity owners
      • L••••••• P••••••• I••• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Aug 2, 2017 to Mar 1, 2018
      • Advisory employees · 50 to 56
        Aug 2, 2017 to Mar 1, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 2, 2017 to Mar 1, 2018
      • Assets in custody · $13.0M to $7.9M
        Aug 2, 2017 to Mar 1, 2018
      • Employees · 86 to 101
        Aug 2, 2017 to Mar 1, 2018
      • State-registered IARs · 0 to 1
        Aug 2, 2017 to Mar 1, 2018
      • Other offices · unset to 0.0
        Aug 2, 2017 to Mar 1, 2018
      • Private funds · 2 to 1
        Aug 2, 2017 to Mar 1, 2018
      • Discretionary RAUM · $17.0M to $7.9M
        Aug 2, 2017 to Mar 1, 2018
      • Pooled vehicle RAUM · unset to 7861532.0
        Aug 2, 2017 to Mar 1, 2018
      • RAUM · $17.0M to $7.9M
        Aug 2, 2017 to Mar 1, 2018
      • Related bank · false to true
        Aug 2, 2017 to Mar 1, 2018
      • Accounts · 3 to 2
        Sep 27, 2016 to Mar 22, 2017
      • Advisory employees · 33 to 50
        Sep 27, 2016 to Mar 22, 2017
      • Assets in custody · $17.2M to $13.0M
        Sep 27, 2016 to Mar 22, 2017
      • Employees · 62 to 86
        Sep 27, 2016 to Mar 22, 2017
      • Private funds · 3 to 2
        Sep 27, 2016 to Mar 22, 2017
      • Discretionary RAUM · $27.3M to $17.0M
        Sep 27, 2016 to Mar 22, 2017
      • RAUM · $27.3M to $17.0M
        Sep 27, 2016 to Mar 22, 2017
      • Advisory employees · 41 to 33
        Jul 31, 2015 to Mar 30, 2016
      • Assets in custody · $20.3M to $17.2M
        Jul 31, 2015 to Mar 30, 2016
      • Employees · 64 to 62
        Jul 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $30.3M to $27.3M
        Jul 31, 2015 to Mar 30, 2016
      • RAUM · $30.3M to $27.3M
        Jul 31, 2015 to Mar 30, 2016
      • Accounts · 5 to 3
        Aug 22, 2014 to Mar 30, 2015
      • Advisory employees · 39 to 41
        Aug 22, 2014 to Mar 30, 2015
      • Assets in custody · $27.0M to $20.3M
        Aug 22, 2014 to Mar 30, 2015
      • Employees · 60 to 64
        Aug 22, 2014 to Mar 30, 2015
      • Private funds · 5 to 3
        Aug 22, 2014 to Mar 30, 2015
      • Discretionary RAUM · $37.4M to $30.3M
        Aug 22, 2014 to Mar 30, 2015
      • RAUM · $37.4M to $30.3M
        Aug 22, 2014 to Mar 30, 2015
      • Advisory employees · 32 to 39
        Aug 5, 2013 to Mar 25, 2014
      • Employees · 48 to 60
        Aug 5, 2013 to Mar 25, 2014
      • Discretionary RAUM · $37.0M to $37.4M
        Aug 5, 2013 to Mar 25, 2014
      • RAUM · $37.0M to $37.4M
        Aug 5, 2013 to Mar 25, 2014
      • Advisory employees · unset to 32.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $38.4M to $27.0M
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 48.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $38.4M to $37.0M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $38.4M to $37.0M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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