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

M•••••• V•••• M••••••••• L••

Former SEC-registered adviserNew Canaan, ConnecticutCRD 114074SEC 801-66683IAPD
Latest filing Apr 5, 2021
First filing on the tape Dec 7, 2011 · 16 filings
RAUM
$49.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$36.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$49.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$90.1M as of Jan 22, 2020
Mar 1, 2012$298M then
HNW client RAUM$62.6M as of Jan 22, 2020
Feb 22, 2018$60.0M then
State-registered IARs (5.B.3)1 as of Jan 22, 2020
Mar 1, 20120 then
Employees (5.A)5 as of Jan 22, 2020
Apr 1, 20137 then
Private funds: no history
RAUM -46% over the last fiscal year-18% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Apr 5, 2021; every figure names its basis
RAUM per advisor
$49.9MderivedRAUM 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
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36.1M72%
  • Charitable organizations$13.9M28%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••••• C••••••• M••••••Chartered Financial AnalystNew Canaan, CtSep 4, 200125 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• P••••••• C••••••• · Managing Member And Chief Compliance Officercontrol
        since 06/2001 · owns 50% to 75%
      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 · 53 to 13
        Jun 29, 2020 to Mar 8, 2021
      • Advisory employees · 2 to 1
        Jun 29, 2020 to Mar 8, 2021
      • Charity clients · 2.0 to unset
        Jun 29, 2020 to Mar 8, 2021
      • HNW clients · 29.0 to unset
        Jun 29, 2020 to Mar 8, 2021
      • Individual clients · 3 to 7
        Jun 29, 2020 to Mar 8, 2021
      • Employees · 5 to 2
        Jun 29, 2020 to Mar 8, 2021
      • Discretionary RAUM · $90.1M to $49.9M
        Jun 29, 2020 to Mar 8, 2021
      • HNW RAUM · 62586868.0 to unset
        Jun 29, 2020 to Mar 8, 2021
      • Individual RAUM · $568,086 to $36.1M
        Jun 29, 2020 to Mar 8, 2021
      • RAUM · $90.1M to $49.9M
        Jun 29, 2020 to Mar 8, 2021
      • Accounts · 42 to 53
        May 2, 2019 to Jan 22, 2020
      • HNW clients · 25 to 29
        May 2, 2019 to Jan 22, 2020
      • Individual clients · 4 to 3
        May 2, 2019 to Jan 22, 2020
      • Other offices · 1 to 0
        May 2, 2019 to Jan 22, 2020
      • Discretionary RAUM · $91.7M to $90.1M
        May 2, 2019 to Jan 22, 2020
      • HNW RAUM · $61.9M to $62.6M
        May 2, 2019 to Jan 22, 2020
      • Individual RAUM · $613,345 to $568,086
        May 2, 2019 to Jan 22, 2020
      • RAUM · $91.7M to $90.1M
        May 2, 2019 to Jan 22, 2020
      • Accounts · 41 to 42
        Feb 27, 2019 to Mar 6, 2019
      • HNW clients · 24 to 25
        Feb 27, 2019 to Mar 6, 2019
      • Discretionary RAUM · $78.4M to $91.7M
        Feb 27, 2019 to Mar 6, 2019
      • HNW RAUM · $52.9M to $61.9M
        Feb 27, 2019 to Mar 6, 2019
      • Individual RAUM · $529,925 to $613,345
        Feb 27, 2019 to Mar 6, 2019
      • RAUM · $78.4M to $91.7M
        Feb 27, 2019 to Mar 6, 2019
      • Accounts · 40 to 41
        Feb 22, 2018 to Feb 27, 2019
      • Individual clients · unset to 4.0
        Feb 22, 2018 to Feb 27, 2019
      • Discretionary RAUM · $90.9M to $78.4M
        Feb 22, 2018 to Feb 27, 2019
      • HNW RAUM · $60.0M to $52.9M
        Feb 22, 2018 to Feb 27, 2019
      • Individual RAUM · $583,005 to $529,925
        Feb 22, 2018 to Feb 27, 2019
      • RAUM · $90.9M to $78.4M
        Feb 22, 2018 to Feb 27, 2019
      • Accounts · 28 to 40
        Mar 23, 2017 to Feb 22, 2018
      • Charity clients · unset to 2.0
        Mar 23, 2017 to Feb 22, 2018
      • HNW clients · unset to 24.0
        Mar 23, 2017 to Feb 22, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Feb 22, 2018
      • Discretionary RAUM · $90.8M to $90.9M
        Mar 23, 2017 to Feb 22, 2018
      • HNW RAUM · unset to 59976062.0
        Mar 23, 2017 to Feb 22, 2018
      • Individual RAUM · unset to 583005.0
        Mar 23, 2017 to Feb 22, 2018
      • RAUM · $90.8M to $90.9M
        Mar 23, 2017 to Feb 22, 2018
      • Accounts · 40 to 28
        Mar 29, 2016 to Mar 23, 2017
      • Advisory employees · 3 to 2
        Mar 29, 2016 to Mar 23, 2017
      Signals
      1 dated events
      • Wilkins Joseph Donaldson (Member) no longer on Schedule A of M•••••• V•••• M••••••••• L•• (listed 2020-06-29, absent 2021-03-08)
        Mar 8, 2021 · 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
      Website
      M••••••V••••.COMreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $49.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026