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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•• E•••••• C•••••• P•••••••• I•••

Former SEC-registered adviserAvon, ConnecticutCRD 109708SEC 801-111923IAPD
Latest filing Jun 24, 2020
First filing on the tape Sep 25, 2017 · 6 filings
RAUM
$152M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
74%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$152M as of Mar 9, 2020
Mar 27, 2018$136M then
HNW client RAUM$93.0M as of Mar 9, 2020
Mar 27, 2018$48.7M then
State-registered IARs (5.B.3)1 as of Mar 9, 2020
Mar 27, 20183 then
Employees (5.A)5 as of Mar 9, 2020
Mar 27, 20186 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Jun 24, 2020; every figure names its basis
RAUM per advisor
$152MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$682,432derivedRAUM over accounts (5.F.2.f)
Discretionary
54%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$50.0M, 25 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.0M61%
  • Pension and profit-sharing plans$40.0M26%
  • Individuals$18.5M12%
Individual clients
70reported
HNW clients
41reported
Pension plan clients
14reported
Charitable clients
n/areported
Accounts
222reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$50.0M for 25 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• A•••••• · President And Chief Compliance Officercontrol
    since 10/2012 · owns 75% or more
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 · 224 to 222
    Mar 11, 2019 to Mar 9, 2020
  • Advisory employees · 3 to 1
    Mar 11, 2019 to Mar 9, 2020
  • BD registered reps · 3 to 1
    Mar 11, 2019 to Mar 9, 2020
  • Charity clients · 0.0 to unset
    Mar 11, 2019 to Mar 9, 2020
  • Corporate clients · 0.0 to unset
    Mar 11, 2019 to Mar 9, 2020
  • HNW clients · 40 to 41
    Mar 11, 2019 to Mar 9, 2020
  • Individual clients · 66 to 70
    Mar 11, 2019 to Mar 9, 2020
  • Pension plan clients · 13 to 14
    Mar 11, 2019 to Mar 9, 2020
  • Pooled vehicle clients · 0.0 to unset
    Mar 11, 2019 to Mar 9, 2020
  • Assets in custody · unset to 50000000.0
    Mar 11, 2019 to Mar 9, 2020
  • Custody of client assets · false to true
    Mar 11, 2019 to Mar 9, 2020
  • Employees · 6 to 5
    Mar 11, 2019 to Mar 9, 2020
  • Financial planning clients · 51-100 to 101-250
    Mar 11, 2019 to Mar 9, 2020
  • State-registered IARs · 3 to 1
    Mar 11, 2019 to Mar 9, 2020
  • Discretionary RAUM · $72.3M to $81.5M
    Mar 11, 2019 to Mar 9, 2020
  • HNW RAUM · $81.7M to $93.0M
    Mar 11, 2019 to Mar 9, 2020
  • Individual RAUM · $20.8M to $18.5M
    Mar 11, 2019 to Mar 9, 2020
  • Non-discretionary RAUM · $64.5M to $70.0M
    Mar 11, 2019 to Mar 9, 2020
  • Pension RAUM · $34.2M to $40.0M
    Mar 11, 2019 to Mar 9, 2020
  • Pooled vehicle RAUM · 0.0 to unset
    Mar 11, 2019 to Mar 9, 2020
  • RAUM · $137M to $152M
    Mar 11, 2019 to Mar 9, 2020
  • Accounts · 206 to 224
    Mar 27, 2018 to Mar 11, 2019
  • BD registered reps · 2 to 3
    Mar 27, 2018 to Mar 11, 2019
  • Charity clients · unset to 0.0
    Mar 27, 2018 to Mar 11, 2019
  • Corporate clients · unset to 0.0
    Mar 27, 2018 to Mar 11, 2019
  • HNW clients · 25 to 40
    Mar 27, 2018 to Mar 11, 2019
  • Individual clients · 93 to 66
    Mar 27, 2018 to Mar 11, 2019
  • Pension plan clients · 20 to 13
    Mar 27, 2018 to Mar 11, 2019
  • Pooled vehicle clients · unset to 0.0
    Mar 27, 2018 to Mar 11, 2019
  • Financial planning clients · 101-250 to 51-100
    Mar 27, 2018 to Mar 11, 2019
  • Discretionary RAUM · $88.1M to $72.3M
    Mar 27, 2018 to Mar 11, 2019
  • HNW RAUM · $48.7M to $81.7M
    Mar 27, 2018 to Mar 11, 2019
  • Individual RAUM · $48.7M to $20.8M
    Mar 27, 2018 to Mar 11, 2019
  • Non-discretionary RAUM · $48.2M to $64.5M
    Mar 27, 2018 to Mar 11, 2019
  • Pension RAUM · $37.0M to $34.2M
    Mar 27, 2018 to Mar 11, 2019
  • Pooled vehicle RAUM · unset to 0.0
    Mar 27, 2018 to Mar 11, 2019
  • RAUM · $136M to $137M
    Mar 27, 2018 to Mar 11, 2019
  • Accounts · 202 to 206
    Sep 25, 2017 to Mar 27, 2018
  • Advisory employees · 4 to 3
    Sep 25, 2017 to Mar 27, 2018
  • BD registered reps · 4 to 2
    Sep 25, 2017 to Mar 27, 2018
Signals
1 dated events
  • N•• E•••••• C•••••• P•••••••• I••• filed its initial SEC registration (Form ADV)
    Sep 25, 2017 · 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