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
F••••• B••••••• I••
Latest filing Jan 23, 2019
First filing on the tape Feb 21, 2012 · 11 filings
RAUM
$738M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
52%
$383M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$738M as of Jan 23, 2019
Feb 21, 2012$433M then
HNW client RAUM$92.8M as of Jan 23, 2019
Feb 14, 2018$83.7M then
State-registered IARs (5.B.3)0 as of Jan 23, 2019
Feb 21, 20120 then
Employees (5.A)4 as of Jan 23, 2019
Feb 19, 20135 then
Private funds: no history
RAUM +7.3% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 23, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $18.6MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $61.7M, 5 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
- is an insurance broker or agent (6.A.6)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$347M47%
- Individuals$291M39%
- High-net-worth individuals$92.8M13%
- Charitable organizations$7.1M1.0%
- Individual clients
- 403reported
- HNW clients
- 5reported
- Pension plan clients
- 73reported
- Charitable clients
- 5reported
- Accounts
- 486reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.7M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- K•••• W•••••• G•••••• to O•••••••••Dec 31, 2019 · Other
- W•••••• C•••••• D•••• to O•••••••••Dec 31, 2019 · Other
- D•••• S•••• H••••• to O•••••••••Dec 31, 2019 · Other
- B•••• D•••• W••••••• to N••••••••• C••••••••• L••Oct 17, 2018 · RIA to a state-registered adviser
Joined, latest
- D•••• S•••• H••••• from A••••••••• F•••••••• S•••••••• L••Nov 16, 2018 · Affiliated broker-dealer or bank to independent RIA
- B•••• D•••• W••••••• from D••••••• S••••••••• L••Mar 10, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for O•••••••••Dec 31, 2019 · Cheshire, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• K••••• W•••••• · Presidentcontrolsince 11/1987 · owns 25% to 50%
- H••••• T•••••• R•••• · Chief Compliance Officer,Cfo,Treasurercontrolsince 11/1987 · owns 25% to 50%
- D••••• W••••••• C•••••• · Vice Presidentsince 05/1989 · owns 10% to 25%
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 · 487 to 486Feb 14, 2018 to Jan 23, 2019
- Individual clients · 401 to 403Feb 14, 2018 to Jan 23, 2019
- Pension plan clients · 76 to 73Feb 14, 2018 to Jan 23, 2019
- Assets in custody · $65.7M to $61.7MFeb 14, 2018 to Jan 23, 2019
- HNW RAUM · $83.7M to $92.8MFeb 14, 2018 to Jan 23, 2019
- Individual RAUM · $289M to $291MFeb 14, 2018 to Jan 23, 2019
- Non-discretionary RAUM · $688M to $738MFeb 14, 2018 to Jan 23, 2019
- Pension RAUM · $308M to $347MFeb 14, 2018 to Jan 23, 2019
- RAUM · $688M to $738MFeb 14, 2018 to Jan 23, 2019
- Other offices · unset to 0.0Jan 31, 2017 to Feb 14, 2018
- Accounts · 471 to 487Jan 31, 2017 to Feb 14, 2018
- Charity clients · unset to 5.0Jan 31, 2017 to Feb 14, 2018
- Corporate clients · unset to 0.0Jan 31, 2017 to Feb 14, 2018
- HNW clients · unset to 5.0Jan 31, 2017 to Feb 14, 2018
- Individual clients · unset to 401.0Jan 31, 2017 to Feb 14, 2018
- Pension plan clients · unset to 76.0Jan 31, 2017 to Feb 14, 2018
- Pooled vehicle clients · unset to 0.0Jan 31, 2017 to Feb 14, 2018
- Assets in custody · unset to 65664357.0Jan 31, 2017 to Feb 14, 2018
- Custody of client assets · false to trueJan 31, 2017 to Feb 14, 2018
- HNW RAUM · unset to 83717361.0Jan 31, 2017 to Feb 14, 2018
- Individual RAUM · unset to 289235351.0Jan 31, 2017 to Feb 14, 2018
- Non-discretionary RAUM · $612M to $688MJan 31, 2017 to Feb 14, 2018
- Pension RAUM · unset to 307793785.0Jan 31, 2017 to Feb 14, 2018
- RAUM · $612M to $688MJan 31, 2017 to Feb 14, 2018
- Accounts · 388 to 471Jan 26, 2016 to Jan 31, 2017
- Non-discretionary RAUM · $558M to $612MJan 26, 2016 to Jan 31, 2017
- RAUM · $558M to $612MJan 26, 2016 to Jan 31, 2017
- Accounts · 379 to 388Mar 25, 2015 to Jan 26, 2016
- BD registered reps · 5 to 4Mar 25, 2015 to Jan 26, 2016
- Employees · 5 to 4Mar 25, 2015 to Jan 26, 2016
- Non-discretionary RAUM · $559M to $558MMar 25, 2015 to Jan 26, 2016
- RAUM · $559M to $558MMar 25, 2015 to Jan 26, 2016
- Accounts · 478 to 379Mar 6, 2014 to Feb 9, 2015
- Non-discretionary RAUM · $524M to $559MMar 6, 2014 to Feb 9, 2015
- RAUM · $524M to $559MMar 6, 2014 to Feb 9, 2015
- Accounts · 870 to 478Feb 19, 2013 to Feb 3, 2014
- Non-discretionary RAUM · $462M to $524MFeb 19, 2013 to Feb 3, 2014
- RAUM · $462M to $524MFeb 19, 2013 to Feb 3, 2014
- Accounts · 872 to 870Feb 21, 2012 to Feb 19, 2013
- Advisory employees · unset to 4.0Feb 21, 2012 to Feb 19, 2013
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.
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