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•••••••• A••••••• S•••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Mar 30, 2012 · 44 filings
SEC status approved since Jun 10, 2003
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.0B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
56
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$2.0B as of Jul 17, 2026
Mar 30, 2012$346M then
HNW client RAUM$1.8B as of Jul 17, 2026
Mar 30, 2018$340M then
State-registered IARs (5.B.3)14 as of Jul 17, 2026
Mar 30, 20120 then
Employees (5.A)56 as of Jul 17, 2026
Mar 28, 201324 then
Private funds: no history
RAUM +23% over the last fiscal year+21% a year over threeIARs 17 to 14
Practice profile
derived from the filing of Jul 17, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $427,889derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 3.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- yesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B89%
- Individuals$231M11%
- Charitable organizations$4.1M0.2%
- Individual clients
- 666reported
- HNW clients
- 783reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,781reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P••• G•••••••Certified Financial Planner | Glastonbury, Ct | Apr 25, 2000 | 32 y | 1 |
| C••••• M••••• H••••••••Certified Financial Planner | Glastonbury, Ct | Feb 9, 2009 | 18 y | 2 |
| T•••••• M• M•••••Certified Financial Planner | Charlotte, Nc | Aug 20, 2012 | 16 y | 0 |
| B••• C• C••••Certified Financial Planner | Glastonbury, Ct | May 3, 2017 | 11 y | 1 |
| D••••••• J••••• F•••••••Certified Financial Planner | Glastonbury, Ct | Dec 16, 2019 | 12 y | 0 |
| B•••• C••••Certified Financial Planner | Medina, Oh | Jun 26, 2020 | 12 y | 0 |
| R••••• J••••• B•••••••• | Glastonbury, Ct | Jan 25, 2021 | 12 y | 0 |
| K••••••• A•• G•••••••• | Glastonbury, Ct | Mar 2, 2021 | 25 y | 1 |
| A•••• D••••• R•••••• | Glastonbury, Ct | Jul 26, 2021 | 19 y | 0 |
| A•••• V•••••• H•••••• | Glastonbury, Ct | Dec 17, 2022 | 11 y | 0 |
| O••••• K•••••• G•••••••Certified Financial Planner | Glastonbury, Ct | Mar 12, 2024 | 18 y | 1 |
| T•••• J•••• G••••• | Glastonbury, Ct | Dec 23, 2024 | 12 y | 0 |
| A•••• B•••• R••• | Glastonbury, Ct | Jul 21, 2026 | 10 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
- C•••••••• R••••• T••••••• to C••••••••• F•••••••• N••••••Apr 8, 2025 · RIA to affiliated broker-dealer or bank
- J••• C••••••• to M••••• W•••••• L••May 23, 2023 · RIA to RIA
- R••••• E••••• W••••••• to S•• A•••••••• I•••Apr 6, 2018 · Other
- J•• G••••••• to S•• A•••••••• I•••Jul 2, 2007 · Other
- C•••• A••••• R•••••••• to B•••••• F••••••••• L••Jul 2, 2007 · Other
- P••• H•••• P••••• to S•• A•••••••• I•••Aug 19, 2004 · Other
Joined, latest
- O••••• K•••••• G••••••• from V••••••• A•••••••• I•••Mar 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••• M••••• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 9, 2009 · Other
- R••••• E••••• W••••••• from B•• A•••• M••••••••• I•••Jan 25, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••• L• · Chief Executive Officercontrolsince 10/2022 · owns less than 5%
- G•••••••• M••••••• P••• · President/Chief Compliance Officercontrolsince 12/1998 · owns less than 5%
- G•••••••• M••••••• P••• · Managing Membercontrolsince 09/2021 · owns 75% or more of A•••••••• L••
Entity owners
- A•••••••• L•• · 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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Independence, OH3 employees
- Charlotte, NC2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jul 17, 2026employees per registered advisor of 4.3 against a peer median of 1.5 (1101 comparable advisers, 98.0th percentile, 5.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,101) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 4,511 to 4,781Mar 25, 2025 to Mar 23, 2026
- Advisory employees · 17 to 14Mar 25, 2025 to Mar 23, 2026
- HNW clients · 685 to 783Mar 25, 2025 to Mar 23, 2026
- Individual clients · 660 to 666Mar 25, 2025 to Mar 23, 2026
- Assets in custody · $916,419 to $0Mar 25, 2025 to Mar 23, 2026
- Employees · 55 to 56Mar 25, 2025 to Mar 23, 2026
- State-registered IARs · 17 to 14Mar 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.7B to $2.0BMar 25, 2025 to Mar 23, 2026
- HNW RAUM · $1.4B to $1.8BMar 25, 2025 to Mar 23, 2026
- Individual RAUM · $268M to $231MMar 25, 2025 to Mar 23, 2026
- RAUM · $1.7B to $2.0BMar 25, 2025 to Mar 23, 2026
- Accounts · 4,217 to 4,511Mar 26, 2024 to Mar 25, 2025
- Advisory employees · 13 to 17Mar 26, 2024 to Mar 25, 2025
- HNW clients · 547 to 685Mar 26, 2024 to Mar 25, 2025
- Individual clients · 743 to 660Mar 26, 2024 to Mar 25, 2025
- Assets in custody · $792,927 to $916,419Mar 26, 2024 to Mar 25, 2025
- Employees · 46 to 55Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · More than 500 to More than 500Mar 26, 2024 to Mar 25, 2025
- State-registered IARs · 13 to 17Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.4B to $1.7BMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $1.1B to $1.4BMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $307M to $268MMar 26, 2024 to Mar 25, 2025
- RAUM · $1.4B to $1.7BMar 26, 2024 to Mar 25, 2025
- Accounts · 4,191 to 4,217Nov 1, 2023 to Mar 26, 2024
- Advisory employees · 15 to 13Nov 1, 2023 to Mar 26, 2024
- HNW clients · 462 to 547Nov 1, 2023 to Mar 26, 2024
- Individual clients · 791 to 743Nov 1, 2023 to Mar 26, 2024
- Assets in custody · $668,480 to $792,927Nov 1, 2023 to Mar 26, 2024
- Employees · 44 to 46Nov 1, 2023 to Mar 26, 2024
- State-registered IARs · 15 to 13Nov 1, 2023 to Mar 26, 2024
- Other offices · 2 to 3Nov 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.1B to $1.4BNov 1, 2023 to Mar 26, 2024
- HNW RAUM · $820M to $1.1BNov 1, 2023 to Mar 26, 2024
- Individual RAUM · $324M to $307MNov 1, 2023 to Mar 26, 2024
- RAUM · $1.1B to $1.4BNov 1, 2023 to Mar 26, 2024
- Accounts · 4,593 to 4,191Sep 27, 2022 to Mar 16, 2023
- Advisory employees · 17 to 15Sep 27, 2022 to Mar 16, 2023
- HNW clients · 455 to 462Sep 27, 2022 to Mar 16, 2023
- Individual clients · 772 to 791Sep 27, 2022 to Mar 16, 2023
- Assets in custody · $932,572 to $668,480Sep 27, 2022 to Mar 16, 2023
Signals
4 dated events
- C•••••••• R••••• T••••••• left A•••••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-10-14)Apr 8, 2025 · Advisor changed firm · fact
- J••• C••••••• left A•••••••• A••••••• S•••••••• L•• for M••••• W•••••• L•• (registered 2023-06-14)May 23, 2023 · Advisor changed firm · fact
- L. Janna Drake (Chief Executive Officer) appeared on Schedule A of A•••••••• A••••••• S•••••••• L••Mar 16, 2023 · Control person joined · fact
- A•••••••• A••••••• S•••••••• L•• reported RAUM $887.0M, up 32% from $673.6M (2019-11-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/adviceone-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••••••RETIREMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-659-4900reportedpublic record, Form ADV, Jul 17, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026