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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•••••••• S••• A••••••••• I•••

Former SEC-registered adviserWilton, ConnecticutCRD 107957SEC 801-20597IAPD
Latest filing Dec 5, 2023
First filing on the tape Jan 20, 2012 · 23 filings
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$81.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$109M as of Mar 22, 2023
Jan 20, 2012$2.2B then
HNW client RAUM$75.4M as of Mar 22, 2023
Mar 29, 2018$92.8M then
State-registered IARs (5.B.3)2 as of Mar 22, 2023
Feb 7, 20137 then
Employees (5.A)3 as of Mar 22, 2023
Feb 7, 201314 then
Private funds: no history
RAUM -18% over the last fiscal year-3.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Dec 5, 2023; every figure names its basis
RAUM per advisor
$54.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$75.4M69%
  • Corporations and businesses$26.8M24%
  • Individuals$5.9M5.4%
  • Charitable organizations$1.2M1.1%
Individual clients
7reported
HNW clients
16reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
28reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• M•••••• C•••• · Principal/Chief Compliance Officer/Directorcontrol
      since 12/1986 · owns 5% to 10%
    • S•••• J••••••• M••••••• · Principal/Chairman/Directorcontrol
      since 12/1986 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New Canaan, Ct000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · NEW CANAAN to WILTON
      Mar 22, 2023 to Dec 5, 2023
    • Accounts · 29 to 28
      Apr 20, 2022 to Mar 22, 2023
    • HNW clients · 17 to 16
      Apr 20, 2022 to Mar 22, 2023
    • Discretionary RAUM · $133M to $109M
      Apr 20, 2022 to Mar 22, 2023
    • HNW RAUM · $92.2M to $75.4M
      Apr 20, 2022 to Mar 22, 2023
    • Individual RAUM · $6.8M to $5.9M
      Apr 20, 2022 to Mar 22, 2023
    • RAUM · $133M to $109M
      Apr 20, 2022 to Mar 22, 2023
    • Advisory employees · 3 to 2
      Mar 16, 2022 to Apr 20, 2022
    • Employees · 4 to 3
      Mar 16, 2022 to Apr 20, 2022
    • Accounts · 28 to 29
      Mar 30, 2021 to Mar 16, 2022
    • HNW clients · 15 to 17
      Mar 30, 2021 to Mar 16, 2022
    • Individual clients · 8 to 7
      Mar 30, 2021 to Mar 16, 2022
    • Discretionary RAUM · $110M to $133M
      Mar 30, 2021 to Mar 16, 2022
    • HNW RAUM · $75.7M to $92.2M
      Mar 30, 2021 to Mar 16, 2022
    • Individual RAUM · $4.6M to $6.8M
      Mar 30, 2021 to Mar 16, 2022
    • RAUM · $110M to $133M
      Mar 30, 2021 to Mar 16, 2022
    • Accounts · 31 to 28
      Jun 22, 2020 to Mar 30, 2021
    • HNW clients · 18 to 15
      Jun 22, 2020 to Mar 30, 2021
    • Discretionary RAUM · $121M to $110M
      Jun 22, 2020 to Mar 30, 2021
    • HNW RAUM · $87.5M to $75.7M
      Jun 22, 2020 to Mar 30, 2021
    • Individual RAUM · $4.7M to $4.6M
      Jun 22, 2020 to Mar 30, 2021
    • RAUM · $121M to $110M
      Jun 22, 2020 to Mar 30, 2021
    • Accounts · 38 to 31
      Mar 27, 2019 to Mar 12, 2020
    • Charity clients · 2 to 1
      Mar 27, 2019 to Mar 12, 2020
    • HNW clients · 23 to 18
      Mar 27, 2019 to Mar 12, 2020
    • Individual clients · 9 to 8
      Mar 27, 2019 to Mar 12, 2020
    • Discretionary RAUM · $107M to $121M
      Mar 27, 2019 to Mar 12, 2020
    • HNW RAUM · $77.7M to $87.5M
      Mar 27, 2019 to Mar 12, 2020
    • Individual RAUM · $4.9M to $4.7M
      Mar 27, 2019 to Mar 12, 2020
    • RAUM · $107M to $121M
      Mar 27, 2019 to Mar 12, 2020
    • Accounts · 40 to 38
      Mar 29, 2018 to Mar 27, 2019
    • Charity clients · 3 to 2
      Mar 29, 2018 to Mar 27, 2019
    • Individual clients · 10 to 9
      Mar 29, 2018 to Mar 27, 2019
    • Employees · 6 to 4
      Mar 29, 2018 to Mar 27, 2019
    • Discretionary RAUM · $128M to $107M
      Mar 29, 2018 to Mar 27, 2019
    • HNW RAUM · $92.8M to $77.7M
      Mar 29, 2018 to Mar 27, 2019
    • Individual RAUM · $6.6M to $4.9M
      Mar 29, 2018 to Mar 27, 2019
    • RAUM · $128M to $107M
      Mar 29, 2018 to Mar 27, 2019
    • Accounts · 42 to 40
      Sep 20, 2017 to Mar 29, 2018
    • Charity clients · unset to 3.0
      Sep 20, 2017 to Mar 29, 2018
    Signals
    2 dated events
    • J•••••• M••••••• S••• left A•••••••• S••• A••••••••• I••• for R•••• R••• A••••••• L•• (registered 2023-09-21)
      Jan 31, 2024 · Advisor changed firm · fact
    • Jacqueline Lindenbaum (Principal) no longer on Schedule A of A•••••••• S••• A••••••••• I••• (listed 2022-03-16, absent 2022-04-20)
      Apr 20, 2022 · Control person left · inference
    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