DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•• C•••••• M••••••••• L•••

Wealth manager with institutional or fund businessWilton, ConnecticutCRD 107971SEC 801-43295website IAPD

Latest filing Feb 27, 2026

First filing on the tape Feb 27, 2012 · 30 filings

SEC status approved since Feb 8, 1993

RAUM

$358M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

48%

$171M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$358M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM$358M as of Feb 27, 2026

Feb 27, 2012$351M then

HNW client RAUM$171M as of Feb 27, 2026

Mar 29, 2018$60.5M then

State-registered IARs (5.B.3)0 as of Feb 27, 2026

Feb 21, 20130 then

Employees (5.A)3 as of Feb 27, 2026

Feb 21, 201310 then

Private funds2 as of Feb 27, 2026

Feb 27, 20123 then

RAUM +96% over the last fiscal year+21% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 27, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $358MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 39derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.5MderivedHNW RAUM over HNW clients
Average account: $8.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +96%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $187M, 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$187M52%
High-net-worth individuals$171M48%
Individuals$430,0510.1%

Individual clients: 1reported
HNW clients: 38reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 44reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $187M for 5 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.48 fund_share=0.52 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••• R••••• H•••••	Wilton, Ct	Jun 8, 1993	36 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

S•••••• W•••• E•••••• to M••••• S••••••
Dec 31, 2015 · Other

Joined, latest

S•••••• W•••• E•••••• from F••••••• M••••••••• L••
Oct 8, 2013 · Other

Every departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•• G••• F••• L•	Hedge Fund	$28.1M	44	Feb 27, 2012
A•• B••••••• F••• L•••	Other Private Fund	$17.2M	48	Feb 27, 2012
F••••••• G••••• O••••••••• F•••• L•••no longer reported	Hedge Fund	$10.6M	10	Mar 13, 2014
A•• C•••••• G••••• F••• L•no longer reported	Hedge Fund	$3.1M	16	Feb 27, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••• J•••• R••••• · Partner/Chief Compliance Officercontrol
since 04/1993 · owns 75% or more
S••••• B••••••• C•••••• · Partnercontrol
since 04/1993 · owns 10% to 25%
H•••••• J•••• R••••• · Principalcontrol
since 09/2013 · owns 75% or more of A•• G•••••• P••••••• L••

Entity owners

A•• G•••••• P••••••• L•• · G•••••• Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Feb 27, 2026
RAUM (Item 5.F) moved from $183,200,897 to $358,299,608 (+96.0%) between the annual amendments of 2025-02-28 and 2026-02-27; the peer median change was +15.0% (4548 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $95.5M to $187M
Feb 28, 2025 to Feb 27, 2026
Discretionary RAUM · $183M to $358M
Feb 28, 2025 to Feb 27, 2026
HNW RAUM · $87.5M to $171M
Feb 28, 2025 to Feb 27, 2026
Individual RAUM · $266,903 to $430,051
Feb 28, 2025 to Feb 27, 2026
Pooled vehicle RAUM · $95.5M to $187M
Feb 28, 2025 to Feb 27, 2026
RAUM · $183M to $358M
Feb 28, 2025 to Feb 27, 2026
Accounts · 54 to 44
Mar 11, 2024 to Feb 28, 2025
HNW clients · 53 to 38
Mar 11, 2024 to Feb 28, 2025
Assets in custody · $87.7M to $95.5M
Mar 11, 2024 to Feb 28, 2025
Financial planning clients · unset to
Mar 11, 2024 to Feb 28, 2025
Discretionary RAUM · $168M to $183M
Mar 11, 2024 to Feb 28, 2025
HNW RAUM · $79.8M to $87.5M
Mar 11, 2024 to Feb 28, 2025
Individual RAUM · $15,556 to $266,903
Mar 11, 2024 to Feb 28, 2025
Pooled vehicle RAUM · $87.7M to $95.5M
Mar 11, 2024 to Feb 28, 2025
RAUM · $168M to $183M
Mar 11, 2024 to Feb 28, 2025
Accounts · 56 to 54
Feb 27, 2023 to Mar 11, 2024
Assets in custody · $103M to $87.7M
Feb 27, 2023 to Mar 11, 2024
Discretionary RAUM · $202M to $168M
Feb 27, 2023 to Mar 11, 2024
HNW RAUM · $95.9M to $79.8M
Feb 27, 2023 to Mar 11, 2024
Individual RAUM · $14,914 to $15,556
Feb 27, 2023 to Mar 11, 2024
Pooled vehicle RAUM · $106M to $87.7M
Feb 27, 2023 to Mar 11, 2024
RAUM · $202M to $168M
Feb 27, 2023 to Mar 11, 2024
Related adviser · true to false
Feb 27, 2023 to Mar 11, 2024
Accounts · 57 to 56
May 26, 2022 to Feb 27, 2023
Individual clients · 2 to 1
May 26, 2022 to Feb 27, 2023
Discretionary RAUM · $198M to $202M
May 26, 2022 to Feb 27, 2023
HNW RAUM · $95.0M to $95.9M
May 26, 2022 to Feb 27, 2023
Individual RAUM · $108,480 to $14,914
May 26, 2022 to Feb 27, 2023
Pooled vehicle RAUM · $103M to $106M
May 26, 2022 to Feb 27, 2023
RAUM · $198M to $202M
May 26, 2022 to Feb 27, 2023
Other offices · 0 to 1
Mar 7, 2022 to May 26, 2022
HNW clients · 54 to 53
Mar 5, 2021 to Mar 7, 2022
Individual clients · 3 to 2
Mar 5, 2021 to Mar 7, 2022
Assets in custody · $89.6M to $103M
Mar 5, 2021 to Mar 7, 2022
Discretionary RAUM · $175M to $198M
Mar 5, 2021 to Mar 7, 2022
HNW RAUM · $85.0M to $95.0M
Mar 5, 2021 to Mar 7, 2022
Individual RAUM · $287,680 to $108,480
Mar 5, 2021 to Mar 7, 2022
Pooled vehicle RAUM · $89.6M to $103M
Mar 5, 2021 to Mar 7, 2022
RAUM · $175M to $198M
Mar 5, 2021 to Mar 7, 2022
Related adviser · false to true
Mar 5, 2021 to Mar 7, 2022

Signals

2 dated events

A•• C•••••• M••••••••• L••• reported RAUM $358.3M, up 96% from $183.2M (2025-02-28 to 2026-02-27)
Feb 27, 2026 · RAUM change · derived
A•• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Sep 30, 2013 · Succession (Item 4) · 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: i•••@a•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 203-563-1180reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 203-563-1186reportedpublished by the firm, firm site, Sep 17, 2026
Website: w••.a•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 203-563-1180reportedpublic record, Form ADV, Feb 27, 2026
Contact form: a•••••••.comreportedpublished by the firm, firm site, Sep 17, 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $358Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026