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

Z•••• A••••••• L••

Former SEC-registered adviserHartford, ConnecticutCRD 108784SEC 801-56470IAPD
Latest filing Jan 11, 2019
First filing on the tape Jan 23, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$728M as of Mar 29, 2016
Jan 23, 2012$824M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 11, 2019
Jan 23, 20120 then
Employees (5.A)0 as of Jan 11, 2019
Mar 28, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 11, 2019; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
Financial planning clients
0reported
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
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
      • A••••••••• M••••••• A•••• · Executive Vice President And Chief Financial Officercontrol
        since 06/2009 · owns less than 5%
      • A••••••• G•••••• R••••• · Presidentcontrol
        since 11/2006 · owns less than 5%
      • F••••• M•••• S•••••• · Executive Vice President, General Counsel And Assistant Secretarycontrol
        since 02/2013 · owns less than 5%
      • W••••••• F••••••• G••••• · Executive Vice Presidentcontrol
        since 01/2014 · owns less than 5%
      • C•••• K••••• J••• · Senior Vice President And Assistant Secretary
        since 02/2013 · owns less than 5%
      • H•••••• D••••• G••••• · Vice President And Treasurer
        since 11/2007 · owns less than 5%
      • S•••• J••••• R••••• · Vice President And Chief Compliance Officer
        since 04/2015 · owns less than 5%
      Entity owners
      • V••••• P•••••••• I••• · Sole Member
        direct · owns 75% or more
      • V••••• I••••••••• P•••••••• I••• · Shareholder
        indirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Z•••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 1-10 to 0
        Jan 5, 2018 to Jan 11, 2019
      • Other offices · unset to 1.0
        Mar 30, 2017 to Jan 5, 2018
      • Accounts · 2.0 to unset
        Mar 29, 2016 to Mar 30, 2017
      • Advisory employees · 3 to 0
        Mar 29, 2016 to Mar 30, 2017
      • BD registered reps · 3 to 0
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 4 to 0
        Mar 29, 2016 to Mar 30, 2017
      • Financial planning clients · unset to 1-10
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · 728229000.0 to unset
        Mar 29, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · 728229000.0 to unset
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $888M to $728M
        May 7, 2015 to Mar 29, 2016
      • RAUM · $888M to $728M
        May 7, 2015 to Mar 29, 2016
      • Discretionary RAUM · $896M to $888M
        Feb 26, 2015 to Mar 31, 2015
      • RAUM · $896M to $888M
        Feb 26, 2015 to Mar 31, 2015
      • Related bank · false to true
        Nov 10, 2014 to Feb 26, 2015
      • Advisory employees · 2 to 3
        Mar 3, 2014 to Mar 28, 2014
      • Employees · 3 to 4
        Mar 3, 2014 to Mar 28, 2014
      • Discretionary RAUM · $835M to $896M
        Mar 3, 2014 to Mar 28, 2014
      • RAUM · $835M to $896M
        Mar 3, 2014 to Mar 28, 2014
      • Advisory employees · unset to 2.0
        Sep 21, 2012 to Mar 28, 2013
      • BD registered reps · unset to 3.0
        Sep 21, 2012 to Mar 28, 2013
      • Employees · unset to 3.0
        Sep 21, 2012 to Mar 28, 2013
      • Discretionary RAUM · $824M to $835M
        Sep 21, 2012 to Mar 28, 2013
      • RAUM · $824M to $835M
        Sep 21, 2012 to Mar 28, 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