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

P•• A•••• M•••••••••

Former SEC-registered adviserNorth Haven, ConnecticutCRD 111047SEC 801-37540IAPD
Legal name P•••••••• T••••• S••••••
Latest filing Mar 26, 2021
First filing on the tape Dec 2, 2011 · 30 filings
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
30 filings and snapshots on the tape
RAUM$226M as of Mar 26, 2021
Mar 23, 2012$315M then
HNW client RAUM$105M as of Mar 26, 2021
Mar 24, 2018$82.3M then
State-registered IARs (5.B.3)1 as of Mar 26, 2021
Mar 21, 20133 then
Employees (5.A)6 as of Mar 26, 2021
Mar 21, 201315 then
Private funds: no history
RAUM +12% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
$226MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
716derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$842,267derivedHNW RAUM over HNW clients
Average account
$310,556derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
-5.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$105M47%
  • Individuals$70.8M31%
  • Corporations and businesses$36.4M16%
  • Charitable organizations$12.0M5.3%
  • Pension and profit-sharing plans$1.6M0.7%
Individual clients
591reported
HNW clients
125reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
728reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••••••• W••••••• F•••••••• · General Partner, Ccocontrol
      since 09/2011 · owns less than 5%
    • W••••••••• W••••••• F•••••••• · General Partnercontrol
      since 09/2011 · owns F of P•••••••• T••••• S••••••
    Entity owners
    • W•••••••• F••••• L•• · General Partner
      indirect · owns 75% or more of P•••••••• T••••• S••••••
    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 · 770 to 728
      Jun 12, 2020 to Mar 26, 2021
    • Corporate clients · 12 to 10
      Jun 12, 2020 to Mar 26, 2021
    • HNW clients · 81 to 125
      Jun 12, 2020 to Mar 26, 2021
    • Individual clients · 675 to 591
      Jun 12, 2020 to Mar 26, 2021
    • Discretionary RAUM · $202M to $226M
      Jun 12, 2020 to Mar 26, 2021
    • HNW RAUM · $79.3M to $105M
      Jun 12, 2020 to Mar 26, 2021
    • Individual RAUM · $80.3M to $70.8M
      Jun 12, 2020 to Mar 26, 2021
    • Pension RAUM · $1.2M to $1.6M
      Jun 12, 2020 to Mar 26, 2021
    • RAUM · $202M to $226M
      Jun 12, 2020 to Mar 26, 2021
    • Accounts · 802 to 770
      Nov 14, 2019 to Mar 29, 2020
    • BD registered reps · 2 to 1
      Nov 14, 2019 to Mar 29, 2020
    • Corporate clients · 10 to 12
      Nov 14, 2019 to Mar 29, 2020
    • HNW clients · 100 to 81
      Nov 14, 2019 to Mar 29, 2020
    • Individual clients · 690 to 675
      Nov 14, 2019 to Mar 29, 2020
    • Employees · 10 to 6
      Nov 14, 2019 to Mar 29, 2020
    • State-registered IARs · 2 to 1
      Nov 14, 2019 to Mar 29, 2020
    • Discretionary RAUM · $180M to $202M
      Nov 14, 2019 to Mar 29, 2020
    • HNW RAUM · $61.6M to $79.3M
      Nov 14, 2019 to Mar 29, 2020
    • Individual RAUM · $81.6M to $80.3M
      Nov 14, 2019 to Mar 29, 2020
    • Pension RAUM · $1.1M to $1.2M
      Nov 14, 2019 to Mar 29, 2020
    • RAUM · $180M to $202M
      Nov 14, 2019 to Mar 29, 2020
    • Accounts · 904 to 802
      Nov 28, 2018 to Mar 26, 2019
    • Corporate clients · 14 to 10
      Nov 28, 2018 to Mar 26, 2019
    • HNW clients · 98 to 100
      Nov 28, 2018 to Mar 26, 2019
    • Individual clients · 788 to 690
      Nov 28, 2018 to Mar 26, 2019
    • Discretionary RAUM · $226M to $180M
      Nov 28, 2018 to Mar 26, 2019
    • HNW RAUM · $82.3M to $61.6M
      Nov 28, 2018 to Mar 26, 2019
    • Individual RAUM · $92.6M to $81.6M
      Nov 28, 2018 to Mar 26, 2019
    • Pension RAUM · $1.7M to $1.1M
      Nov 28, 2018 to Mar 26, 2019
    • RAUM · $226M to $180M
      Nov 28, 2018 to Mar 26, 2019
    • Accounts · 1,049 to 904
      Dec 18, 2017 to Mar 24, 2018
    • Corporate clients · unset to 14.0
      Dec 18, 2017 to Mar 24, 2018
    • HNW clients · unset to 98.0
      Dec 18, 2017 to Mar 24, 2018
    • Individual clients · unset to 788.0
      Dec 18, 2017 to Mar 24, 2018
    • Employees · 15 to 10
      Dec 18, 2017 to Mar 24, 2018
    • Discretionary RAUM · $210M to $226M
      Dec 18, 2017 to Mar 24, 2018
    • HNW RAUM · unset to 82335607.0
      Dec 18, 2017 to Mar 24, 2018
    • Individual RAUM · unset to 92597803.0
      Dec 18, 2017 to Mar 24, 2018
    • Pension RAUM · unset to 1718802.0
      Dec 18, 2017 to Mar 24, 2018
    • RAUM · $210M to $226M
      Dec 18, 2017 to Mar 24, 2018
    Signals
    No event on the tape.
    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