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
N•••••••• F••••••••
Legal name N•••••••• F•••••••• C••••••••• L••
Latest filing Sep 9, 2025
First filing on the tape Mar 16, 2012 · 22 filings
SEC status approved since Apr 3, 2001
RAUM
$4.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$4.6B as of Sep 9, 2025
Mar 16, 2012$2.4B then
HNW client RAUM$4.6B as of Sep 9, 2025
Mar 29, 2018$2.8B then
State-registered IARs (5.B.3)2 as of Sep 9, 2025
Mar 16, 20120 then
Employees (5.A)8 as of Sep 9, 2025
Apr 1, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+0.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 9, 2025; every figure names its basis
- RAUM per advisor
- $2.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $18.9MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.2B, 128 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.6B99%
- Individuals$34.1M0.7%
- Individual clients
- 51reported
- HNW clients
- 241reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,596reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 128 clientsreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- S•••• G••••• P••••• to C••••••Oct 6, 2025 · RIA to RIA
- F•••• D••••••• R••••••• to C••••••Oct 6, 2025 · RIA to RIA
- E••••• B•••• D•••• to C••••••Oct 6, 2025 · RIA to RIA
Joined, latest
- F•••• D••••••• R••••••• from C•••• I••••••••• S••••••• C••••Jul 6, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••••• L•• · Vice President, Treasurercontrolsince 11/2020 · owns less than 5%
- D••••• E•••••• B•••• · President, Manager,controlsince 02/2020 · owns less than 5%
- R•••••• P••••••• S••• · Chief Compliance Officer; Secretary; Vpcontrolsince 10/2020 · owns less than 5%
Entity owners
- N•• H•••••••• I•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G•••• D••••••••• S••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westport, Ct · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 28, 2025 to Sep 9, 2025
- Accounts · 1,537 to 1,596Mar 28, 2024 to Mar 28, 2025
- HNW clients · 233 to 241Mar 28, 2024 to Mar 28, 2025
- Individual clients · 34 to 51Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $1.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.1B to $4.6BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $4.1B to $4.6BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $15.6M to $34.1MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8.4M to $4.5MMar 28, 2024 to Mar 28, 2025
- RAUM · $4.1B to $4.6BMar 28, 2024 to Mar 28, 2025
- Accounts · 1,557 to 1,537Jun 8, 2023 to Mar 28, 2024
- HNW clients · 239 to 233Jun 8, 2023 to Mar 28, 2024
- Individual clients · 25 to 34Jun 8, 2023 to Mar 28, 2024
- Assets in custody · $967M to $1.1BJun 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.7B to $4.1BJun 8, 2023 to Mar 28, 2024
- HNW RAUM · $3.7B to $4.1BJun 8, 2023 to Mar 28, 2024
- Individual RAUM · $8.8M to $15.6MJun 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $16.7M to $8.4MJun 8, 2023 to Mar 28, 2024
- RAUM · $3.7B to $4.1BJun 8, 2023 to Mar 28, 2024
- Accounts · 1,527 to 1,557Mar 29, 2022 to Mar 30, 2023
- HNW clients · 176 to 239Mar 29, 2022 to Mar 30, 2023
- Individual clients · 70 to 25Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $1.2B to $967MMar 29, 2022 to Mar 30, 2023
- Financial planning clients · 101-250 to 251-500Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.5B to $3.7BMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $4.5B to $3.7BMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $54.4M to $8.8MMar 29, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $30.9M to $16.7MMar 29, 2022 to Mar 30, 2023
- RAUM · $4.5B to $3.7BMar 29, 2022 to Mar 30, 2023
- Accounts · 1,404 to 1,527Aug 16, 2021 to Mar 29, 2022
- HNW clients · 168 to 176Aug 16, 2021 to Mar 29, 2022
- Individual clients · 65 to 70Aug 16, 2021 to Mar 29, 2022
- Assets in custody · $3.1B to $1.2BAug 16, 2021 to Mar 29, 2022
- Discretionary RAUM · $3.8B to $4.5BAug 16, 2021 to Mar 29, 2022
- HNW RAUM · $3.8B to $4.5BAug 16, 2021 to Mar 29, 2022
- Individual RAUM · $52.5M to $54.4MAug 16, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $32.0M to $30.9MAug 16, 2021 to Mar 29, 2022
- RAUM · $3.8B to $4.5BAug 16, 2021 to Mar 29, 2022
- Accounts · 1,327 to 1,404Jun 30, 2020 to Mar 30, 2021
Signals
6 dated events
- N•••••••• F•••••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $4.6B)Feb 2, 2026 · Left the SEC roster · derived
- S•••• G••••• P••••• left N•••••••• F•••••••• for C•••••• (registered 2025-09-09)Oct 6, 2025 · Advisor changed firm · fact
- F•••• D••••••• R••••••• left N•••••••• F•••••••• for C•••••• (registered 2025-09-09)Oct 6, 2025 · Advisor changed firm · fact
- E••••• B•••• D•••• left N•••••••• F•••••••• for C•••••• (registered 2025-09-09)Oct 6, 2025 · Advisor changed firm · fact
- N•••••••• F••••••••'s advisors moved to C•••••• (Westport, CT): 3 of 3 registered, on the same dayOct 6, 2025 · Firm absorbed (people side) · derived
- N•••••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 30, 2020 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- N•••••••• F•••••••• · Private Equityshared crd · intermediary
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