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
D•••••• A•••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Feb 28, 2012 · 35 filings
SEC status approved since Jan 23, 1987
RAUM
$212M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$205M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.5M
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
35 filings and snapshots on the tape
RAUM$212M as of Mar 24, 2026
Feb 28, 2012$154M then
HNW client RAUM$205M as of Mar 24, 2026
Mar 9, 2018$161M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 11, 20132 then
Employees (5.A)3 as of Mar 24, 2026
Mar 11, 20134 then
Private funds: no history
RAUM -9.6% over the last fiscal year+5.4% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M97%
- Pension and profit-sharing plans$4.1M2.0%
- Charitable organizations$2.5M1.2%
- Individual clients
- 0reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 59reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••••• A••••• D•••••• | Ridgefield, Ct | Aug 19, 1987 | 48 y | 0 |
| S••••• M••••• | Ridgefield, Ct | Feb 11, 2021 | 10 y | 1 |
| J•••••• L•• S•••••• | Ridgefield, Ct | Dec 1, 2025 | 26 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
- E••••• E•••••••• B•••• to R••••••••• I••••• S••••••••• I•••Apr 29, 2022 · RIA to RIA
Joined, latest
- S••••• M••••• from C•••••• S••••• • C••• I•••Feb 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••••• E•••••••• B•••• from W••••• I•••••••• S•••••• I••Apr 27, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• H••••••• A••••• · President, Chief Compliance Officercontrolsince 10/1986 · owns 75% or more
- D••••••• L•••••• · Vice-Presidentcontrolsince 06/2020 · 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 |
|---|---|---|---|---|---|
| Ridgefield, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 63 to 59Dec 11, 2025 to Mar 24, 2026
- Advisory employees · 2 to 3Dec 11, 2025 to Mar 24, 2026
- HNW clients · 60 to 59Dec 11, 2025 to Mar 24, 2026
- Individual clients · unset to 0.0Dec 11, 2025 to Mar 24, 2026
- Pension plan clients · unset to 0.0Dec 11, 2025 to Mar 24, 2026
- Employees · 2 to 3Dec 11, 2025 to Mar 24, 2026
- State-registered IARs · 2 to 3Dec 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $234M to $212MDec 11, 2025 to Mar 24, 2026
- HNW RAUM · $219M to $205MDec 11, 2025 to Mar 24, 2026
- Individual RAUM · $213,089 to $0Dec 11, 2025 to Mar 24, 2026
- Pension RAUM · $11.5M to $4.1MDec 11, 2025 to Mar 24, 2026
- RAUM · $234M to $212MDec 11, 2025 to Mar 24, 2026
- Accounts · 62 to 63Oct 7, 2024 to Mar 25, 2025
- Advisory employees · 3 to 2Oct 7, 2024 to Mar 25, 2025
- HNW clients · 59 to 60Oct 7, 2024 to Mar 25, 2025
- Employees · 3 to 2Oct 7, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Oct 7, 2024 to Mar 25, 2025
- State-registered IARs · 3 to 2Oct 7, 2024 to Mar 25, 2025
- Discretionary RAUM · $211M to $234MOct 7, 2024 to Mar 25, 2025
- HNW RAUM · $197M to $219MOct 7, 2024 to Mar 25, 2025
- Individual RAUM · $165,540 to $213,089Oct 7, 2024 to Mar 25, 2025
- Pension RAUM · $10.3M to $11.5MOct 7, 2024 to Mar 25, 2025
- RAUM · $211M to $234MOct 7, 2024 to Mar 25, 2025
- HNW clients · 61 to 59Mar 15, 2023 to Mar 21, 2024
- Discretionary RAUM · $181M to $211MMar 15, 2023 to Mar 21, 2024
- HNW RAUM · $171M to $197MMar 15, 2023 to Mar 21, 2024
- Individual RAUM · $164,027 to $165,540Mar 15, 2023 to Mar 21, 2024
- Pension RAUM · $6.1M to $10.3MMar 15, 2023 to Mar 21, 2024
- RAUM · $181M to $211MMar 15, 2023 to Mar 21, 2024
- Accounts · 61 to 62Jan 10, 2023 to Mar 15, 2023
- HNW clients · 59 to 61Jan 10, 2023 to Mar 15, 2023
- Discretionary RAUM · $196M to $181MJan 10, 2023 to Mar 15, 2023
- HNW RAUM · $186M to $171MJan 10, 2023 to Mar 15, 2023
- Individual RAUM · $196,469 to $164,027Jan 10, 2023 to Mar 15, 2023
- Pension RAUM · $6.4M to $6.1MJan 10, 2023 to Mar 15, 2023
- RAUM · $196M to $181MJan 10, 2023 to Mar 15, 2023
- Accounts · 58 to 61Mar 11, 2021 to Mar 22, 2022
- Advisory activities · 1 to 2Mar 11, 2021 to Mar 22, 2022
- HNW clients · 54 to 59Mar 11, 2021 to Mar 22, 2022
- Financial planning clients · unset to 1-10Mar 11, 2021 to Mar 22, 2022
Signals
3 dated events
- E••••• E•••••••• B•••• left D•••••• A•••• M••••••••• I••• for R••••••••• I••••• S••••••••• I••• (registered 2022-05-04)Apr 29, 2022 · Advisor changed firm · fact
- Marie Martha D•••••• (Vice-President) no longer on Schedule A of D•••••• A•••• M••••••••• I••• (listed 2020-06-29, absent 2020-07-10)Jul 10, 2020 · Control person left · inference
- L•••••• D•••••• (Vice-President) appeared on Schedule A of D•••••• A•••• M••••••••• I•••Jul 10, 2020 · Control person joined · fact
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
- info@portfolioadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- herb@portfolioadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-661-6410reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-661-6410reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- portfolioadvisor.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- portfolioadvisor.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $70.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026