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••••••••• F•••••• F••• I••
Latest filing Mar 2, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Sep 15, 1989
RAUM
$728M
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
$728M
derived; firm RAUM over IAPD count
Employees
20
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$728M as of Mar 2, 2026
Mar 30, 2012$349M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Mar 20, 20131 then
Employees (5.A)20 as of Mar 2, 2026
Mar 20, 20139 then
Private funds: no history
RAUM +2.4% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $728MderivedRAUM 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
- $582,265derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 20.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,250reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• M••••• | Madison, Ct | May 21, 1990 | 31 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••• · President/ Chief Investment Officercontrolsince 07/1989 · owns 75% or more
- M•••••• T•••• D•••• · Vice President / Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
Related persons
Schedule D 7.A
- M••• C••••• M•••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,209 to 1,250Dec 3, 2025 to Mar 2, 2026
- Discretionary RAUM · $711M to $728MDec 3, 2025 to Mar 2, 2026
- RAUM · $711M to $728MDec 3, 2025 to Mar 2, 2026
- Financial planning clients · unset to Mar 27, 2024 to Feb 26, 2025
- Discretionary RAUM · $694M to $711MMar 27, 2024 to Feb 26, 2025
- RAUM · $694M to $711MMar 27, 2024 to Feb 26, 2025
- Accounts · 1,245 to 1,209Feb 27, 2023 to Mar 27, 2024
- Employees · 19 to 20Feb 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $662M to $694MFeb 27, 2023 to Mar 27, 2024
- RAUM · $662M to $694MFeb 27, 2023 to Mar 27, 2024
- Accounts · 1,186 to 1,245Feb 6, 2022 to Feb 27, 2023
- Employees · 20 to 19Feb 6, 2022 to Feb 27, 2023
- Discretionary RAUM · $634M to $662MFeb 6, 2022 to Feb 27, 2023
- RAUM · $634M to $662MFeb 6, 2022 to Feb 27, 2023
- Accounts · 97,211 to 1,186Feb 9, 2021 to Feb 6, 2022
- Employees · 14 to 20Feb 9, 2021 to Feb 6, 2022
- State-registered IARs · 1 to 0Feb 9, 2021 to Feb 6, 2022
- Discretionary RAUM · $603M to $634MFeb 9, 2021 to Feb 6, 2022
- RAUM · $603M to $634MFeb 9, 2021 to Feb 6, 2022
- Accounts · 1,155 to 97,211Mar 5, 2020 to Feb 9, 2021
- Employees · 13 to 14Mar 5, 2020 to Feb 9, 2021
- Discretionary RAUM · $606M to $603MMar 5, 2020 to Feb 9, 2021
- RAUM · $606M to $603MMar 5, 2020 to Feb 9, 2021
- Accounts · 92,942 to 1,155Mar 18, 2019 to Mar 5, 2020
- Discretionary RAUM · $574M to $606MMar 18, 2019 to Mar 5, 2020
- RAUM · $574M to $606MMar 18, 2019 to Mar 5, 2020
- Accounts · 1,068 to 92,942Dec 7, 2018 to Mar 18, 2019
- Corporate clients · 1068.0 to unsetDec 7, 2018 to Mar 18, 2019
- Employees · 12 to 13Dec 7, 2018 to Mar 18, 2019
- Discretionary RAUM · $542M to $574MDec 7, 2018 to Mar 18, 2019
- RAUM · $542M to $574MDec 7, 2018 to Mar 18, 2019
- Accounts · 81,923 to 1,068Mar 29, 2017 to Feb 13, 2018
- Corporate clients · unset to 1068.0Mar 29, 2017 to Feb 13, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Feb 13, 2018
- Discretionary RAUM · $503M to $542MMar 29, 2017 to Feb 13, 2018
- RAUM · $503M to $542MMar 29, 2017 to Feb 13, 2018
- Accounts · 76,705 to 81,923Jan 16, 2017 to Mar 29, 2017
- Discretionary RAUM · $467M to $503MJan 16, 2017 to Mar 29, 2017
- RAUM · $467M to $503MJan 16, 2017 to Mar 29, 2017
- Accounts · 71,756 to 76,705Apr 2, 2015 to Mar 30, 2016
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.
How to reach
public business contact points only, each with its source
- Website
- w••.c•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-336-1102reportedpublic record, Form ADV, Mar 2, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $728Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026