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
P••••••• I••••••••• I•••
Latest filing May 22, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Aug 1, 1990
RAUM
$5.6B
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$934M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$5.6B as of May 22, 2026
Mar 30, 2012$372M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of May 22, 2026
Apr 1, 20130 then
Employees (5.A)13 as of May 22, 2026
Apr 1, 20138 then
Private funds1 as of May 22, 2026
Mar 26, 20212 then
RAUM +1.7% over the last fiscal year-3.5% a year over threeIARs 8 to 4offices 1 to 0
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $934MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $22.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $5.6B, 8 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.6B100%
- Pooled investment vehicles$6.7M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 248reported
- Charitable clients
- n/areported
- Accounts
- 250reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.6B for 8 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J••••••• L•••••• | Shelton, Ct | Jan 24, 2017 | 29 y | 1 |
| M••••• E•••• C•••••• | Shelton, Ct | Jun 23, 2017 | 17 y | 3 |
| P•••• J•••••• F•••• | Shelton, Ct | Apr 15, 2022 | 18 y | 0 |
| S•••••• A• H••••• | Shelton, Ct | Sep 5, 2025 | 33 y | 0 |
| R••••• A••••• M••••••• | Shelton, Ct | Sep 9, 2025 | 23 y | 0 |
| M•••••• E•••• H•••••• | Shelton, Ct | Oct 9, 2025 | 28 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 headcount0 left over 36 months
Left, latest
- A••••• N••••• O••••••••• to B••••••• F• E•••••• • C••••••• I•••••••••Apr 22, 2022 · Other
- R•••••• L• R•••••••• to U•• A•••••••Mar 14, 2022 · Other
- B•••• T••••• D•••• to A••••••• F•••••••• A•••••••• L••May 21, 2018 · Other
- M•••••• L•• L•••• to L•••••• I••••••••• A•••••••• L••Nov 30, 2017 · Other
- B•••• M•••••• N••••••• to U•• A•••••••Oct 31, 2016 · Other
- G••••• M•••••• M••••••••• to T•• A•••••••• I•••Nov 11, 2009 · Other
- W••••• A••••• D••••• to G••••••• P•••• A•••••••• L••Oct 7, 2008 · Other
- A••••• J•• W••••• to M•••••••• G••••• I•••Sep 22, 2008 · Other
- A••• B•••• A•••••• to S•••• F••• I••••••••• M••••••••• C••••Dec 12, 2007 · Other
- J•••• R• A••••• to A••••• A•• P••••••• S•••••••Dec 6, 2006 · Other
Joined, latest
- A••••• N••••• O••••••••• from A••••••• C•••••• S••••••••• L••Sep 24, 2019 · Other
- R•••••• L• R•••••••• from P•••••••• S••••••••• I•••Jun 12, 2018 · Other
- M••••• E•••• C•••••• from C••••••••• I••••••••• L••Jun 23, 2017 · Other
- C••••••••• J••••••• L•••••• from T• W••••• M••••••••• S••••••• I•••Jan 24, 2017 · Other
- B•••• M•••••• N••••••• from O•• F••••••••Jun 22, 2015 · Other
- M•••••• L•• L•••• from L•• F•••••••• L••Feb 17, 2015 · Other
- A••• B•••• A•••••• from C••••• I••••••••• S••••••• L••Mar 27, 2007 · Other
- A••••• J•• W••••• from I•••••••• A••••••• I••Jun 2, 2006 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• R••••••••• T•••• | Other Private Fund | $287M | 8 | Mar 26, 2021 |
| P••••••• C•••••••• 2••••• L•• | Other Private Fund | $4.2M | 3 | Mar 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- E••••• L•••• G•••••• · Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
- F•••••••• K••••• O• · Svp, General Counselcontrolsince 03/2023 · owns less than 5%
- S••••••••• C••••••• S• · Chief Financial Officercontrolsince 08/2012 · owns less than 5%
- S••••• S••••• M••••••• · President, Chief Investment Officercontrolsince 06/2011 · owns less than 5%
- W••••••• E•••• H••• · Directorcontrolsince 07/2023 · owns less than 5%
Entity owners
- P••••••• S•••••••• I••• · Parentdirect · owns 75% or more
- P••••••• D•••••• B•••••• P••• F•• F•••••••• I••••••••• · Shareholderindirect · owns 75% or more of P••••••• Services, Inc
Related persons
Schedule D 7.A
- P••••••• D••••••••• I•••broker-dealern
- P••••••• I•••••••• A•••••• I•••real estaten
- P••••••• S•••••••• I•••LP sponsory
- P••••••• T•••• C••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shelton, Ct · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Shelton, CT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 25, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 4.0 (-50.0%) between the annual amendments of 2025-03-25 and 2026-03-25; the peer median change was 0.0% (21 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $5B to $20B (21) · 0.0% percentile
What changed
consecutive filings, newest first
- HQ city · WHITE PLAINS to SHELTONMar 25, 2026 to May 22, 2026
- HQ state · NY to CTMar 25, 2026 to May 22, 2026
- Other offices · 1 to 0Mar 25, 2026 to May 22, 2026
- Accounts · 272 to 250Mar 25, 2025 to Mar 25, 2026
- BD registered reps · 7 to 4Mar 25, 2025 to Mar 25, 2026
- Pension plan clients · 270 to 248Mar 25, 2025 to Mar 25, 2026
- Assets in custody · $5.5B to $5.6BMar 25, 2025 to Mar 25, 2026
- Employees · 16 to 13Mar 25, 2025 to Mar 25, 2026
- State-registered IARs · 8 to 4Mar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.2B to $3.3BMar 25, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.3B to $2.3BMar 25, 2025 to Mar 25, 2026
- Pension RAUM · $5.5B to $5.6BMar 25, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $6.3M to $6.7MMar 25, 2025 to Mar 25, 2026
- RAUM · $5.5B to $5.6BMar 25, 2025 to Mar 25, 2026
- Accounts · 291 to 272Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 7 to 5Mar 27, 2024 to Mar 25, 2025
- BD registered reps · 6 to 7Mar 27, 2024 to Mar 25, 2025
- Pension plan clients · 287 to 270Mar 27, 2024 to Mar 25, 2025
- Assets in custody · $5.9B to $5.5BMar 27, 2024 to Mar 25, 2025
- Employees · 14 to 16Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 25, 2025
- State-registered IARs · 7 to 8Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $3.7B to $3.2BMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.2B to $2.3BMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $5.9B to $5.5BMar 27, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $8.0M to $6.3MMar 27, 2024 to Mar 25, 2025
- RAUM · $5.9B to $5.5BMar 27, 2024 to Mar 25, 2025
- Accounts · 347 to 291Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 345 to 287Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $6.2B to $5.9BMar 28, 2023 to Mar 27, 2024
- Employees · 13 to 14Mar 28, 2023 to Mar 27, 2024
- Private funds · 2 to 1Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $3.9B to $3.7BMar 28, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.3B to $2.2BMar 28, 2023 to Mar 27, 2024
- Pension RAUM · $6.2B to $5.9BMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $5.4M to $8.0MMar 28, 2023 to Mar 27, 2024
- RAUM · $6.2B to $5.9BMar 28, 2023 to Mar 27, 2024
- Accounts · 374 to 347Mar 30, 2022 to Mar 28, 2023
- Advisory employees · 8 to 7Mar 30, 2022 to Mar 28, 2023
- Advisory activities · 7 to 6Mar 30, 2022 to Mar 28, 2023
Signals
7 dated events
- E John Pinto (Director) no longer on Schedule A of P••••••• I••••••••• I••• (listed 2023-03-28, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Hans Eric Wietsma (Director) appeared on Schedule A of P••••••• I••••••••• I•••Mar 27, 2024 · Control person joined · fact
- D Robert Alin (Director, Secretary And Counsel) no longer on Schedule A of P••••••• I••••••••• I••• (listed 2022-03-30, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- O Kevin Finnegan (Svp, General Counsel) appeared on Schedule A of P••••••• I••••••••• I•••Mar 28, 2023 · Control person joined · fact
- A••••• N••••• O••••••••• left P••••••• I••••••••• I••• for B••••••• F• E•••••• • C••••••• I••••••••• (registered 2022-04-21)Apr 22, 2022 · Advisor changed firm · fact
- R•••••• L• R•••••••• left P••••••• I••••••••• I••• for U•• A••••••• (registered 2022-06-01)Mar 14, 2022 · Advisor changed firm · fact
- P••••••• I••••••••• I••• reported RAUM $6.5B, down 35% from $10.0B (2017-03-31 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••• I••••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 872-3473reportedpublic record, Form ADV, May 22, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $934Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026