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
C••••••• F•••••••• I••
Latest filing Mar 31, 2025
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Sep 1, 1997
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2025
Mar 29, 2012$347M then
HNW client RAUM$243M as of Mar 31, 2025
Mar 29, 2018$196M then
State-registered IARs (5.B.3)12 as of Mar 31, 2025
Mar 29, 20120 then
Employees (5.A)19 as of Mar 31, 2025
Mar 26, 201314 then
Private funds: no history
RAUM +11% over the last fiscal year+1.9% a year over threeIARs 9 to 12
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $95.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $502M, 573 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$802M70%
- High-net-worth individuals$243M21%
- Charitable organizations$62.6M5.5%
- Pension and profit-sharing plans$41.2M3.6%
- Individual clients
- 1,056reported
- HNW clients
- 28reported
- Pension plan clients
- 13reported
- Charitable clients
- 32reported
- Accounts
- 1,084reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $502M for 573 clientsreported
- Compensation
- % of AUM, fixed, 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
- A•••• K•••••••• to S••••• W••••• M•••••••••Jun 27, 2025 · RIA to RIA
- A••••• J••• P•••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- M•••••• A• K•••••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- J•••••• T••••• G••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- B•••••• J•••• S•••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- G••••••• I••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- S••• P•••••• M•••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- C•••••••• M• W•••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- D••••• T••••• C••••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- R•••• T• S•••••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- S•••• A•••••• V••••••••• L•• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- D••••• G••••• C••••••• to S••••• W••••• M•••••••••May 2, 2025 · RIA to RIA
- J•••• A••• D••••••••• to C••••••••• F•••••••• N••••••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- D•••• J••••• M••••••• to J••••• M••••••••• S•••• L••Dec 6, 2022 · RIA to affiliated broker-dealer or bank
- J••••• T••••• H••••••••• to R•••• C••••••• L••Aug 25, 2021 · RIA to RIA
Joined, latest
- J•••• A••• D••••••••• from G•••• V••••• A•••••• G••••• L••May 25, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for S••••• W••••• M•••••••••May 2, 2025 · Middletown, Ri · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D•••••• G••••• · President/Treasurercontrolsince 11/1989 · owns 50% to 75%
- K••••••••• A•••• · Vice President/ Director Of Financial Planning & Taxationcontrolsince 12/2008 · owns 10% to 25%
- W••••••• C•••••••• · Secretary/ Director Of Operationscontrolsince 12/2008 · owns less than 5%
- P••••••• A•••••• J••• · Chief Compliance Officersince 12/2014 · owns 5% to 10%
- S••••••••• R••••• T• · Shareholdersince 01/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Middletown, Ri · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,077 to 1,084May 16, 2024 to Mar 31, 2025
- Advisory employees · 9 to 12May 16, 2024 to Mar 31, 2025
- Charity clients · 29 to 32May 16, 2024 to Mar 31, 2025
- HNW clients · 23 to 28May 16, 2024 to Mar 31, 2025
- Individual clients · 1,011 to 1,056May 16, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 13May 16, 2024 to Mar 31, 2025
- Assets in custody · $428M to $502MMay 16, 2024 to Mar 31, 2025
- State-registered IARs · 9 to 12May 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.1BMay 16, 2024 to Mar 31, 2025
- HNW RAUM · $209M to $243MMay 16, 2024 to Mar 31, 2025
- Individual RAUM · $734M to $802MMay 16, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.9M to $3.9MMay 16, 2024 to Mar 31, 2025
- Pension RAUM · $37.7M to $41.2MMay 16, 2024 to Mar 31, 2025
- RAUM · $1.0B to $1.1BMay 16, 2024 to Mar 31, 2025
- Accounts · 1,089 to 1,077Mar 28, 2023 to Mar 27, 2024
- Advisory employees · 11 to 9Mar 28, 2023 to Mar 27, 2024
- Charity clients · 22 to 29Mar 28, 2023 to Mar 27, 2024
- HNW clients · 15 to 23Mar 28, 2023 to Mar 27, 2024
- Individual clients · 1,034 to 1,011Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 20 to 14Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $367M to $428MMar 28, 2023 to Mar 27, 2024
- Employees · 17 to 19Mar 28, 2023 to Mar 27, 2024
- State-registered IARs · 11 to 9Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $930M to $1.0BMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $149M to $209MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $709M to $734MMar 28, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.5M to $4.9MMar 28, 2023 to Mar 27, 2024
- Pension RAUM · $33.7M to $37.7MMar 28, 2023 to Mar 27, 2024
- RAUM · $932M to $1.0BMar 28, 2023 to Mar 27, 2024
- Accounts · 1,075 to 1,089Mar 31, 2022 to Mar 28, 2023
- Advisory employees · 10 to 11Mar 31, 2022 to Mar 28, 2023
- HNW clients · 20 to 15Mar 31, 2022 to Mar 28, 2023
- Individual clients · 1,019 to 1,034Mar 31, 2022 to Mar 28, 2023
- Pension plan clients · 14 to 20Mar 31, 2022 to Mar 28, 2023
- Assets in custody · $379M to $367MMar 31, 2022 to Mar 28, 2023
- Employees · 23 to 17Mar 31, 2022 to Mar 28, 2023
- State-registered IARs · 10 to 11Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.1B to $930MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $208M to $149MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $802M to $709MMar 31, 2022 to Mar 28, 2023
Signals
16 dated events
- C••••••• F•••••••• I•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $1.1B)Jul 1, 2025 · Left the SEC roster · derived
- A•••• K•••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-06-11)Jun 27, 2025 · a•••••• firm change · fact
- S••• P•••••• M•••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- D••••• T••••• C••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- A••••• J••• P•••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- C•••••••• M• W•••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- G••••••• I••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- M•••••• A• K•••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- J•••••• T••••• G••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- B•••••• J•••• S•••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- D••••• G••••• C••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- R•••• T• S•••••••• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- S•••• A•••••• V••••••••• L•• left C••••••• F•••••••• I•• for S••••• W••••• M••••••••• (registered 2025-05-02)May 2, 2025 · a•••••• firm change · fact
- C••••••• F•••••••• I••'s advisors moved to S••••• W••••• M••••••••• (Middletown, RI): 11 of 12 registered, on the same dayMay 2, 2025 · Firm absorbed (people side) · derived
- J•••• A••• D••••••••• left C••••••• F•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2024-01-25)Jan 2, 2024 · a•••••• firm change · fact
- D•••• J••••• M••••••• left C••••••• F•••••••• I•• for J••••• M••••••••• S•••• L•• (registered 2022-10-31)Dec 6, 2022 · a•••••• firm change · 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