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••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jan 10, 2012 · 51 filings
SEC status approved since Mar 21, 1983
RAUM
$107B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107B
derived; firm RAUM over IAPD count
Employees
270
240 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$107B as of Mar 30, 2026
Mar 26, 2012$85B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 26, 20120 then
Employees (5.A)270 as of Mar 30, 2026
Mar 18, 2013240 then
Private funds: no history
RAUM +7.4% over the last fiscal year+4.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107BderivedRAUM 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
- $131MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 270.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$94B88%
- State and municipal entities$9.9B9.2%
- Pooled investment vehicles$1.9B1.8%
- Corporations and businesses$539M0.5%
- Pension and profit-sharing plans$148M0.1%
- Charitable organizations$100M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 819reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.02 institutional_share=0.98 related_bd=true related_bank=true bd_reps=10.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••••• P••••• | Hartford, Ct | Nov 12, 2009 | 36 y | 1 |
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
none on the tape
Joined, latest
- R••••• S•••••• P••••• from A•••••• I•••Nov 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••••• A••• · Managing Director, Portfolio Manager And Cio C•••••• North Americacontrolsince 10/2023 · owns less than 5%
- B•••••••• L••••••• E•••• · Chief Executive Officer & Chair Of The Boardcontrolsince 01/2012 · owns less than 5%
- D•••• M••••••• K•••••• · Managing Director Head Of C•••••• North Americacontrolsince 10/2023 · owns less than 5%
- L••• J•••• W•• · Managing Director, Chief Financial Officercontrolsince 01/2011 · owns less than 5%
- P•••••• R•••••• S•••••• · Managing Director, Chief Compliance Officercontrolsince 11/2005 · owns less than 5%
- S••••••• V• ••••••• R• · Managing Director, Chief Legal Officer/Corporate Secretarycontrolsince 01/2011 · owns less than 5%
Entity owners
- C•••••• • C•••••• · Shareholderdirect · owns 75% or more
- A••••••••• G••••••• S•••• · Shareholderindirect · owns 75% or more of G••••••• I••••••••• H•••••• S••••
- C•••••• H••••••• C••• · Shareholderindirect · owns 75% or more of C•••••• • C••••••
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• U••• H•••••••• I•••
- C•••••• U••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• C•••.
- G••••••• I••••••••• H•••••• S•••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• L••••••
Related persons
Schedule D 7.A
- C•••••• A••• P•••••• L•••••• •••• K••••broker-dealerinvestment advisern
- C•••••• A•••• M••••••••• L••• •••broker-dealerinvestment advisern
- C•••••• I••••••••• P•••••••• I•••broker-dealerinvestment advisernRAUM $572M
- G••••• E•••••••• A•••• M••••••••• A••investment advisern
- G••••• E•••••••• F••• M••••••••• S••••••••• P••• L•••investment advisern
- G••••• E•••••••• M•••• S•investment adviserpooled vehicle sponsorn
- G••••• E•••••••• U••• L••investment advisernRAUM $1.2B
- G•••••• C•••••• A•••••••• I•••investment advisernRAUM $987M
- O•••••• C••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $35B
- O•••••• C••••• O••••••••• G•• L••pooled vehicle sponsorn
- O•••••• F•••• G• I•• L••pooled vehicle sponsorn
- O•••••• F•••• G• L••pooled vehicle sponsorn
- O•••••• F•••• I• G• L••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• I•• L•••••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• V• L•••••pooled vehicle sponsorn
- P•••••••• R••• E••••• S•••••••• L•••••investment companyn
- P•••••••• R••• E•••••• L•••••pooled vehicle sponsorn
- P•• G• I• L•••••pooled vehicle sponsorn
- P•• G• I•• L•••••pooled vehicle sponsorn
- P••• I••••••••• A•••••••• L•••••investment advisernRAUM $1.9B
Advisers that list C••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 536.0 to 819.0 (+53.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +3.0% (35 comparable advisers, 97.0th percentile of changes)peers: institutional managers, $20B and over (35) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 536 to 819Nov 11, 2025 to Mar 30, 2026
- Corporate clients · 8 to 9Nov 11, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 6Nov 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $99B to $107BNov 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $445M to $272MNov 11, 2025 to Mar 30, 2026
- Pension RAUM · $136M to $148MNov 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.9BNov 11, 2025 to Mar 30, 2026
- RAUM · $100B to $107BNov 11, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 11, 2025
- Accounts · 534 to 536May 6, 2024 to Mar 28, 2025
- BD registered reps · 8 to 10May 6, 2024 to Mar 28, 2025
- Charity clients · 2.0 to unsetMay 6, 2024 to Mar 28, 2025
- Pooled vehicle clients · 6 to 8May 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $99B to $99BMay 6, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.7B to $445MMay 6, 2024 to Mar 28, 2025
- Pension RAUM · $119M to $136MMay 6, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $574M to $1.3BMay 6, 2024 to Mar 28, 2025
- RAUM · $100B to $100BMay 6, 2024 to Mar 28, 2025
- Accounts · 542 to 534Oct 2, 2023 to Mar 26, 2024
- Charity clients · unset to 2.0Oct 2, 2023 to Mar 26, 2024
- Corporate clients · 7 to 8Oct 2, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 7Oct 2, 2023 to Mar 26, 2024
- Pooled vehicle clients · 7 to 6Oct 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $93B to $99BOct 2, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.3B to $1.7BOct 2, 2023 to Mar 26, 2024
- Pension RAUM · $188M to $119MOct 2, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $555M to $574MOct 2, 2023 to Mar 26, 2024
- RAUM · $95B to $100BOct 2, 2023 to Mar 26, 2024
- Accounts · 543 to 542Jun 10, 2022 to Mar 30, 2023
- Advisory employees · 230 to 240Jun 10, 2022 to Mar 30, 2023
- BD registered reps · 9 to 8Jun 10, 2022 to Mar 30, 2023
- Corporate clients · 5 to 7Jun 10, 2022 to Mar 30, 2023
- Pension plan clients · 11 to 8Jun 10, 2022 to Mar 30, 2023
- Pooled vehicle clients · 6 to 7Jun 10, 2022 to Mar 30, 2023
- Employees · 263 to 270Jun 10, 2022 to Mar 30, 2023
- Discretionary RAUM · $109B to $93BJun 10, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.3B to $1.3BJun 10, 2022 to Mar 30, 2023
- Pension RAUM · $2.2B to $188MJun 10, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $430M to $555MJun 10, 2022 to Mar 30, 2023
- RAUM · $110B to $95BJun 10, 2022 to Mar 30, 2023
Signals
5 dated events
- Louis Richard Sega (Managing Director, Global Chief Investment Strategist) no longer on Schedule A of C••••••• I••• (listed 2023-08-04, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Edward Michael Haylon (Managing Director, Head Of Conning North America) no longer on Schedule A of C••••••• I••• (listed 2023-08-04, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Anne Cynthia Beaulieu (Managing Director, Portfolio Manager And Cio Conning North America) appeared on Schedule A of C••••••• I•••Oct 2, 2023 · Control person joined · fact
- Kenneth Matthew Daly (Managing Director Head Of Conning North America) appeared on Schedule A of C••••••• I•••Oct 2, 2023 · Control person joined · fact
- C••••••• I••• reported RAUM $99.9B, up 35% from $74.2B (2019-03-29 to 2019-09-16)Sep 16, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-299-2000reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $107Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026