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

H••••• A••••••••• I••

Former SEC-registered adviserNew Haven, ConnecticutCRD 108301SEC 801-13704IAPD
Latest filing Feb 13, 2015
First filing on the tape Mar 5, 2012 · 8 filings
RAUM
$880M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$880M as of Feb 13, 2015
Mar 5, 2012$753M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 13, 2015
Mar 5, 20120 then
Employees (5.A)7 as of Feb 13, 2015
Feb 27, 20137 then
Private funds: no history
RAUM +3.5% over the last fiscal year+5.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 13, 2015; every figure names its basis
RAUM per advisor
$220MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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
696reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    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
      • B•••••• T••••• · Vice President, Secretary & Directorcontrol
        since 03/2008 · owns less than 5%
      • E••••• T•••••• N••••• · Vice President & Directorcontrol
        since 10/2010 · owns less than 5%
      • J•••••• K••••••• J•••• · President, Chief Compliance Officer & Directorcontrol
        since 06/2005 · owns 25% to 50%
      • Z••••• J••••• S•••••• · Chairman, Treasurer & Directorcontrol
        since 06/2005 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 691 to 696
        Nov 11, 2014 to Feb 13, 2015
      • Discretionary RAUM · $840M to $874M
        Nov 11, 2014 to Feb 13, 2015
      • Non-discretionary RAUM · $9.5M to $5.6M
        Nov 11, 2014 to Feb 13, 2015
      • RAUM · $850M to $880M
        Nov 11, 2014 to Feb 13, 2015
      • Accounts · 686 to 691
        Jun 13, 2013 to Feb 21, 2014
      • Discretionary RAUM · $777M to $840M
        Jun 13, 2013 to Feb 21, 2014
      • Non-discretionary RAUM · $14.2M to $9.5M
        Jun 13, 2013 to Feb 21, 2014
      • RAUM · $791M to $850M
        Jun 13, 2013 to Feb 21, 2014
      • Accounts · 673 to 686
        Mar 5, 2012 to Feb 27, 2013
      • Advisory employees · unset to 3.0
        Mar 5, 2012 to Feb 27, 2013
      • Employees · unset to 7.0
        Mar 5, 2012 to Feb 27, 2013
      • State-registered IARs · 0 to 4
        Mar 5, 2012 to Feb 27, 2013
      • Discretionary RAUM · $742M to $777M
        Mar 5, 2012 to Feb 27, 2013
      • Non-discretionary RAUM · $10.9M to $14.2M
        Mar 5, 2012 to Feb 27, 2013
      • RAUM · $753M to $791M
        Mar 5, 2012 to Feb 27, 2013
      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.
      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