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.
SEC-registered adviser
Mullaney Keating & Wright Inc
Latest filing May 14, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Sep 21, 1994
RAUM
$337M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
88%
$296M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$337M as of May 14, 2026
Sep 12, 2012$211M then
HNW client RAUM$227M as of May 14, 2026
Aug 31, 2018$162M then
State-registered IARs (5.B.3)3 as of May 14, 2026
Sep 18, 20133 then
Employees (5.A)3 as of May 14, 2026
Sep 18, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+1.2% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $668,634derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%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 consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$227M67%
- Individuals$68.7M20%
- Charitable organizations$38.1M11%
- Pension and profit-sharing plans$2.2M0.7%
- Corporations and businesses$696,9750.2%
- Individual clients
- 110reported
- HNW clients
- 70reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 504reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Anthony Vincent Lynch | Middletown, Ct | Mar 9, 1999 | 41 y | 0 |
| Francis C. CarpentierCertified Financial Planner | Middletown, Ct | Dec 2, 2003 | 33 y | 1 |
| Jessica Anne GilbertCertified Financial Planner | Middletown, Ct | Nov 19, 2021 | 16 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jessica Anne Gilbert from LPL Financial LLCNov 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- Francis C. Carpentier from Olson Mobeck Investment Advisors, IncDec 2, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C. Francis Carpentier · Executive Vice President And Chief Compliance Officercontrolsince 11/2003 · owns 50% to 75%
- Vincent Anthony Lynch · Executive Vice Presidentcontrolsince 07/1998 · owns 50% to 75%
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, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 485 to 504Sep 25, 2024 to Nov 26, 2025
- Charity clients · 4 to 2Sep 25, 2024 to Nov 26, 2025
- HNW clients · 74 to 70Sep 25, 2024 to Nov 26, 2025
- Individual clients · 113 to 110Sep 25, 2024 to Nov 26, 2025
- Financial planning clients · 1-10 to 1-10Sep 25, 2024 to Nov 26, 2025
- HQ city · WEST HARTFORD to MIDDLETOWNSep 25, 2024 to Nov 26, 2025
- Discretionary RAUM · $280M to $300MSep 25, 2024 to Nov 26, 2025
- HNW RAUM · $224M to $227MSep 25, 2024 to Nov 26, 2025
- Individual RAUM · $62.6M to $68.7MSep 25, 2024 to Nov 26, 2025
- Non-discretionary RAUM · $46.6M to $36.9MSep 25, 2024 to Nov 26, 2025
- Pension RAUM · $2.5M to $2.2MSep 25, 2024 to Nov 26, 2025
- RAUM · $326M to $337MSep 25, 2024 to Nov 26, 2025
- Accounts · 480 to 485Sep 18, 2023 to Sep 25, 2024
- Advisory employees · 4 to 3Sep 18, 2023 to Sep 25, 2024
- Corporate clients · 1 to 2Sep 18, 2023 to Sep 25, 2024
- HNW clients · 77 to 74Sep 18, 2023 to Sep 25, 2024
- Individual clients · 111 to 113Sep 18, 2023 to Sep 25, 2024
- Pooled vehicle clients · 0.0 to unsetSep 18, 2023 to Sep 25, 2024
- Employees · 4 to 3Sep 18, 2023 to Sep 25, 2024
- State-registered IARs · 4 to 3Sep 18, 2023 to Sep 25, 2024
- Discretionary RAUM · $259M to $280MSep 18, 2023 to Sep 25, 2024
- HNW RAUM · $206M to $224MSep 18, 2023 to Sep 25, 2024
- Individual RAUM · $55.5M to $62.6MSep 18, 2023 to Sep 25, 2024
- Non-discretionary RAUM · $39.6M to $46.6MSep 18, 2023 to Sep 25, 2024
- Pension RAUM · $4.0M to $2.5MSep 18, 2023 to Sep 25, 2024
- Pooled vehicle RAUM · 0.0 to unsetSep 18, 2023 to Sep 25, 2024
- RAUM · $298M to $326MSep 18, 2023 to Sep 25, 2024
- Accounts · 472 to 480Sep 29, 2022 to Sep 18, 2023
- HNW clients · 63 to 77Sep 29, 2022 to Sep 18, 2023
- Discretionary RAUM · $235M to $259MSep 29, 2022 to Sep 18, 2023
- HNW RAUM · $161M to $206MSep 29, 2022 to Sep 18, 2023
- Individual RAUM · $61.5M to $55.5MSep 29, 2022 to Sep 18, 2023
- Non-discretionary RAUM · $28.7M to $39.6MSep 29, 2022 to Sep 18, 2023
- Pension RAUM · $3.9M to $4.0MSep 29, 2022 to Sep 18, 2023
- RAUM · $263M to $298MSep 29, 2022 to Sep 18, 2023
- Accounts · 471 to 472Sep 21, 2021 to Sep 29, 2022
- Advisory employees · 3 to 4Sep 21, 2021 to Sep 29, 2022
- HNW clients · 61 to 63Sep 21, 2021 to Sep 29, 2022
- Individual clients · 113 to 111Sep 21, 2021 to Sep 29, 2022
- State-registered IARs · 3 to 4Sep 21, 2021 to Sep 29, 2022
Signals
1 dated events
- Francis Thomas Mullaney (President, Director) no longer on Schedule A of Mullaney Keating & Wright Inc (listed 2023-09-18, absent 2024-09-25)Sep 25, 2024 · Control person left · inference
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
- 860-521-9900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-521-9901reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-521-9902reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- mkwinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-521-9900reportedpublic record, Form ADV, May 14, 2026
- Contact form
- mkwinc.com/about-us/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mkwinc.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026