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••••• C•••••• M••••••••• I••
Latest filing Mar 13, 2024
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$97.2M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$97.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$97.2M as of Mar 13, 2024
Mar 29, 2012$80.2M then
HNW client RAUM$94.0M as of Mar 13, 2024
Mar 19, 2019$88.3M then
State-registered IARs (5.B.3)0 as of Mar 13, 2024
Mar 29, 20120 then
Employees (5.A)3 as of Mar 13, 2024
Mar 19, 20193 then
Private funds: no history
RAUM +7.0% over the last fiscal year+1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2024; 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
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%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
- +7.0%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, hourlyreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.0M97%
- Individuals$3.2M3.3%
- Individual clients
- 19reported
- HNW clients
- 69reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 89reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
- R••••• C•••••• D••••••• to C•••• H••••• A•••• M••••••••• L••Dec 6, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• R•••••• C•••••• · President/Chief Compliance Officercontrolsince 07/1989 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilton, Ct · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 88 to 89Mar 27, 2023 to Mar 13, 2024
- HNW clients · 70 to 69Mar 27, 2023 to Mar 13, 2024
- Individual clients · 18 to 19Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $88.3M to $95.2MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $88.0M to $94.0MMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $2.8M to $3.2MMar 27, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $2.5M to $2.0MMar 27, 2023 to Mar 13, 2024
- RAUM · $90.8M to $97.2MMar 27, 2023 to Mar 13, 2024
- Accounts · 82 to 88Sep 26, 2022 to Mar 27, 2023
- HNW clients · 63 to 70Sep 26, 2022 to Mar 27, 2023
- Individual clients · 19 to 18Sep 26, 2022 to Mar 27, 2023
- Discretionary RAUM · $104M to $88.3MSep 26, 2022 to Mar 27, 2023
- HNW RAUM · $104M to $88.0MSep 26, 2022 to Mar 27, 2023
- Individual RAUM · $4.3M to $2.8MSep 26, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $4.3M to $2.5MSep 26, 2022 to Mar 27, 2023
- RAUM · $108M to $90.8MSep 26, 2022 to Mar 27, 2023
- Accounts · 84 to 82Mar 24, 2021 to Mar 18, 2022
- HNW clients · 67 to 63Mar 24, 2021 to Mar 18, 2022
- Individual clients · 17 to 19Mar 24, 2021 to Mar 18, 2022
- Discretionary RAUM · $88.4M to $104MMar 24, 2021 to Mar 18, 2022
- HNW RAUM · $90.3M to $104MMar 24, 2021 to Mar 18, 2022
- Individual RAUM · $3.2M to $4.3MMar 24, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $5.1M to $4.3MMar 24, 2021 to Mar 18, 2022
- RAUM · $93.5M to $108MMar 24, 2021 to Mar 18, 2022
- Accounts · 86 to 84Jun 3, 2020 to Mar 24, 2021
- HNW clients · 70 to 67Jun 3, 2020 to Mar 24, 2021
- Individual clients · 16 to 17Jun 3, 2020 to Mar 24, 2021
- Discretionary RAUM · $99.7M to $88.4MJun 3, 2020 to Mar 24, 2021
- HNW RAUM · $99.7M to $90.3MJun 3, 2020 to Mar 24, 2021
- Individual RAUM · $5.2M to $3.2MJun 3, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $5.2M to $5.1MJun 3, 2020 to Mar 24, 2021
- RAUM · $105M to $93.5MJun 3, 2020 to Mar 24, 2021
- Accounts · 92 to 86Mar 19, 2019 to Mar 27, 2020
- HNW clients · 75 to 70Mar 19, 2019 to Mar 27, 2020
- Individual clients · 17 to 16Mar 19, 2019 to Mar 27, 2020
- Discretionary RAUM · $89.2M to $99.7MMar 19, 2019 to Mar 27, 2020
- HNW RAUM · $88.3M to $99.7MMar 19, 2019 to Mar 27, 2020
- Individual RAUM · $5.1M to $5.2MMar 19, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $4.2M to $5.2MMar 19, 2019 to Mar 27, 2020
- RAUM · $93.4M to $105MMar 19, 2019 to Mar 27, 2020
Signals
2 dated events
- R••••• C•••••• D••••••• left F••••• C•••••• M••••••••• I•• for C•••• H••••• A•••• M••••••••• L•• (registered 2024-09-26)Dec 6, 2024 · Advisor changed firm · fact
- F••••• C•••••• M••••••••• I•• filed its initial SEC registration (Form ADV)May 4, 2018 · First SEC registration · fact
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