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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SEC-registered adviser
A•••• M••••••••• G••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Feb 23, 2012 · 29 filings
SEC status approved since Apr 30, 1998
RAUM
$898M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$870M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$449M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$898M as of Mar 4, 2026
Feb 23, 2012$191M then
HNW client RAUM$797M as of Mar 4, 2026
Mar 26, 2018$394M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Feb 23, 20120 then
Employees (5.A)6 as of Mar 4, 2026
Mar 14, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $449MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $607,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- Custody
- $9.4M, 7 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$797M89%
- Individuals$73.7M8.2%
- Corporations and businesses$24.3M2.7%
- Pension and profit-sharing plans$3.6M0.4%
- Individual clients
- 156reported
- HNW clients
- 98reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 1,478reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.4M for 7 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• S•••••• R•••••••Certified Financial Planner | Stamford, Ct | Feb 5, 1992 | 43 y | 0 |
| M••••••• R••• | Stamford, Ct | Jan 29, 2019 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••••• B•••••• to H•••••••• A•••••••• L••Jul 20, 2024 · RIA to affiliated broker-dealer or bank
- T••••• C••••••••• M••••• to C••••••••• F•••••••• N••••••Jan 31, 2013 · Other
Joined, latest
- T••••• C••••••••• M••••• from F•••• C•••••• F•••••••• P•••••••• I•••Nov 28, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••• W•••••• · Directorcontrolsince 04/1983 · owns less than 5%
- R•••••••• H••••• B•••••• · Director, Secretarycontrolsince 01/1998 · owns less than 5%
- R•••••••• L••••••• S•••••• · Director, President & Chief Compliance Officer, Trusteecontrolsince 04/1983 · owns less than 5%
- R•••••••• L••••••• S•••••• · Trusteecontrolsince 04/2018 · owns F of T•• L•••••• S• R••••••• R•••••••• T•••• D•• A•••• 2•• 2•••
Entity owners
- T•• L•••••• S• R••••••• R•••••••• T•••• D•• A•••• 2•• 2••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,443 to 1,478Mar 13, 2025 to Mar 4, 2026
- Corporate clients · 3 to 2Mar 13, 2025 to Mar 4, 2026
- HNW clients · 100 to 98Mar 13, 2025 to Mar 4, 2026
- Individual clients · 154 to 156Mar 13, 2025 to Mar 4, 2026
- Assets in custody · $7.7M to $9.4MMar 13, 2025 to Mar 4, 2026
- Discretionary RAUM · $804M to $898MMar 13, 2025 to Mar 4, 2026
- HNW RAUM · $714M to $797MMar 13, 2025 to Mar 4, 2026
- Individual RAUM · $59.7M to $73.7MMar 13, 2025 to Mar 4, 2026
- Pension RAUM · $4.1M to $3.6MMar 13, 2025 to Mar 4, 2026
- RAUM · $804M to $898MMar 13, 2025 to Mar 4, 2026
- Accounts · 1,453 to 1,443Oct 17, 2024 to Mar 13, 2025
- Advisory employees · 3 to 2Oct 17, 2024 to Mar 13, 2025
- Corporate clients · 2 to 3Oct 17, 2024 to Mar 13, 2025
- HNW clients · 105 to 100Oct 17, 2024 to Mar 13, 2025
- Individual clients · 153 to 154Oct 17, 2024 to Mar 13, 2025
- Pension plan clients · 7 to 8Oct 17, 2024 to Mar 13, 2025
- Assets in custody · $6.3M to $7.7MOct 17, 2024 to Mar 13, 2025
- Financial planning clients · 51-100 to 51-100Oct 17, 2024 to Mar 13, 2025
- State-registered IARs · 3 to 2Oct 17, 2024 to Mar 13, 2025
- Discretionary RAUM · $696M to $804MOct 17, 2024 to Mar 13, 2025
- HNW RAUM · $622M to $714MOct 17, 2024 to Mar 13, 2025
- Individual RAUM · $49.7M to $59.7MOct 17, 2024 to Mar 13, 2025
- Pension RAUM · $3.3M to $4.1MOct 17, 2024 to Mar 13, 2025
- RAUM · $696M to $804MOct 17, 2024 to Mar 13, 2025
- Accounts · 1,414 to 1,453Mar 28, 2023 to Feb 23, 2024
- Corporate clients · 3 to 2Mar 28, 2023 to Feb 23, 2024
- HNW clients · 150 to 105Mar 28, 2023 to Feb 23, 2024
- Individual clients · 108 to 153Mar 28, 2023 to Feb 23, 2024
- Pension plan clients · 8 to 7Mar 28, 2023 to Feb 23, 2024
- Assets in custody · $4.7M to $6.3MMar 28, 2023 to Feb 23, 2024
- Employees · 5 to 6Mar 28, 2023 to Feb 23, 2024
- State-registered IARs · 1 to 3Mar 28, 2023 to Feb 23, 2024
- Discretionary RAUM · $591M to $696MMar 28, 2023 to Feb 23, 2024
- HNW RAUM · $537M to $622MMar 28, 2023 to Feb 23, 2024
- Individual RAUM · $34.4M to $49.7MMar 28, 2023 to Feb 23, 2024
- Pension RAUM · $3.9M to $3.3MMar 28, 2023 to Feb 23, 2024
- RAUM · $591M to $696MMar 28, 2023 to Feb 23, 2024
- Accounts · 1,367 to 1,414Jun 23, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Jun 23, 2022 to Mar 28, 2023
- HNW clients · 111 to 150Jun 23, 2022 to Mar 28, 2023
Signals
1 dated events
- J••••••• B•••••• left A•••• M••••••••• G••••• I••• for H•••••••• A•••••••• L•• (registered 2024-08-07)Jul 20, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 203-964-8300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/ASSET-MANAGEMENT-GROUP-INC.reportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/275821/admin/updatesreportedpublic record, Form ADV, Sep 19, 2026
- Website
- amgplanning.wordpress.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-964-8300reportedpublic record, Form ADV, Mar 4, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $449Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026