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
M••• S••••• R••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Nov 21, 2011 · 60 filings
SEC status approved since Nov 14, 2000
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.6B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
24
16 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$2.7B as of Apr 27, 2026
Mar 29, 2012$401M then
HNW client RAUM$2.6B as of Apr 27, 2026
Mar 29, 2018$852M then
State-registered IARs (5.B.3)16 as of Apr 27, 2026
Mar 28, 20132 then
Employees (5.A)24 as of Apr 27, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $888,925derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.4derived5 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
- +11%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $2.7B, 1,031 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.6B95%
- Individuals$67.9M2.5%
- Charitable organizations$43.9M1.6%
- Pension and profit-sharing plans$16.9M0.6%
- Individual clients
- 203reported
- HNW clients
- 815reported
- Pension plan clients
- 8reported
- Charitable clients
- 5reported
- Accounts
- 3,017reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7B for 1,031 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• D•••••• | Lakeville, Ct | Nov 24, 2014 | 39 y | 0 |
| A•••• M•••••• S•••• | Lakeville, Ct | Nov 24, 2014 | 21 y | 0 |
| B••••••• B• A•••••••• | Greenwich, Ct | Dec 21, 2015 | 11 y | 0 |
| S•••••••• H••• A••••••• | Lakeville, Ct | Jun 27, 2016 | 10 y | 0 |
| E•••••••• I•••• B••••••••• | Lakeville, Ct | Jun 11, 2019 | 27 y | 0 |
| L••• N••••• T•••Chartered Financial Analyst | Lakeville, Ct | Dec 12, 2019 | 11 y | 0 |
| N•••••• E••••• M••••••Certified Financial Planner | Lakeville, Ct | Jan 30, 2020 | 11 y | 0 |
| J•••• A••• S••••• | Lakeville, Ct | Jun 28, 2021 | 11 y | 0 |
| J•••• L••••• M•••• | Lakeville, Ct | Oct 15, 2021 | 12 y | 3 |
| P•••• A• F••••••Certified Financial Planner | Greenwich, Ct | Oct 20, 2021 | 10 y | 1 |
| R•••• T•••• L••••••• | Lakeville, Ct | Dec 2, 2021 | 10 y | 1 |
| H••••••• C•••••• | Lakeville, Ct | Apr 8, 2022 | 19 y | 3 |
| M•••••• C•••• N•••••••Certified Financial Planner | Lakeville, Ct | Jan 2, 2024 | 14 y | 3 |
| M•••••• J••• S••••• | Lakeville, Ct | May 16, 2024 | 13 y | 0 |
| A•••••••• M••• R•••••Certified Financial Planner | Lakeville, Ct | Jul 29, 2024 | 12 y | 3 |
| J•••••• D••••• | Lakeville, Ct | Sep 26, 2024 | 11 y | 2 |
| E•••• S•••• | Lakeville, Ct | May 10, 2025 | 11 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
- S•••• P•••••• L••••• to C••••••••• W•••••• L••Oct 27, 2023 · RIA to RIA
Joined, latest
- J•••••• D••••• from L•• F•••••••• L••Sep 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• M••• R••••• from R•••••• W••••• P•••••••• L••Jul 29, 2024 · RIA to RIA
- M•••••• C•••• N••••••• from E•••••• C•••••• M••••••••• L••Jan 2, 2024 · RIA to RIA
- S•••• P•••••• L••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- H••••••• C•••••• from C•••••• S••••• • C••• I•••Apr 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- R•••• T•••• L••••••• from A••••••••• F•••••••• S•••••••• L••Dec 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- P•••• A• F•••••• from U•• F•••••••• S••••••• I•••Oct 20, 2021 · Wirehouse to independent RIA
- J•••• L••••• M•••• from F••••• I•••••••••Oct 15, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• B•••••••• B• · Partner - Chief Executive Officercontrolsince 04/2026 · owns 5% to 10%
- D••••••• J••••• E••••• · Managing Partner And Chief Investment Officercontrolsince 04/2000 · owns 75% or more
- M••••••• N••••••• E••••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- S••••• A••••• M•••••• · Managing Partner And Portfolio Managercontrolsince 08/2020 · owns 5% to 10%
- T•••• L•••• N••••• · Managing Partnercontrolsince 04/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lakeville, Ct · principal | 17 | 0 | 0 | ||
| Greenwich, Ct | 5 | 0 | 0 | ||
| Sausalito, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT3 employees
- Lakeville, CT1 employees
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 27, 2026T•••• L•••• N••••• (MANAGING PARTNER) appeared on Schedule A between the filings of 2022-03-30 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 27, 2026HNW share of RAUM moved from 71.0% to 95.0% between the annual amendments of 2025-03-25 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,782 to 3,017Mar 25, 2025 to Mar 31, 2026
- HNW clients · 367 to 815Mar 25, 2025 to Mar 31, 2026
- Individual clients · 553 to 203Mar 25, 2025 to Mar 31, 2026
- Pension plan clients · 30 to 8Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $1.2B to $2.7BMar 25, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to More than 500Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.4B to $2.7BMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $1.7B to $2.6BMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $611M to $67.9MMar 25, 2025 to Mar 31, 2026
- Pension RAUM · $42.4M to $16.9MMar 25, 2025 to Mar 31, 2026
- RAUM · $2.4B to $2.7BMar 25, 2025 to Mar 31, 2026
- Accounts · 2,550 to 2,782Nov 15, 2024 to Mar 25, 2025
- Advisory employees · 11 to 16Nov 15, 2024 to Mar 25, 2025
- Charity clients · unset to 5.0Nov 15, 2024 to Mar 25, 2025
- HNW clients · 531 to 367Nov 15, 2024 to Mar 25, 2025
- Individual clients · 339 to 553Nov 15, 2024 to Mar 25, 2025
- Pension plan clients · 55 to 30Nov 15, 2024 to Mar 25, 2025
- Assets in custody · $979M to $1.2BNov 15, 2024 to Mar 25, 2025
- Employees · 21 to 24Nov 15, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Nov 15, 2024 to Mar 25, 2025
- State-registered IARs · 11 to 16Nov 15, 2024 to Mar 25, 2025
- Other offices · 3 to 4Nov 15, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.8B to $2.4BNov 15, 2024 to Mar 25, 2025
- HNW RAUM · $1.6B to $1.7BNov 15, 2024 to Mar 25, 2025
- Individual RAUM · $197M to $611MNov 15, 2024 to Mar 25, 2025
- Pension RAUM · $60.2M to $42.4MNov 15, 2024 to Mar 25, 2025
- RAUM · $1.8B to $2.4BNov 15, 2024 to Mar 25, 2025
- HQ city · SAUSALITO to LAKEVILLEAug 21, 2024 to Nov 15, 2024
- HQ state · CA to CTAug 21, 2024 to Nov 15, 2024
- Accounts · 2,675 to 2,550Apr 25, 2023 to Feb 2, 2024
- HNW clients · 558 to 531Apr 25, 2023 to Feb 2, 2024
- Individual clients · 287 to 339Apr 25, 2023 to Feb 2, 2024
- Pension plan clients · unset to 55.0Apr 25, 2023 to Feb 2, 2024
- Assets in custody · $800M to $979MApr 25, 2023 to Feb 2, 2024
- Employees · 23 to 21Apr 25, 2023 to Feb 2, 2024
- Discretionary RAUM · $1.7B to $1.8BApr 25, 2023 to Feb 2, 2024
- HNW RAUM · $1.5B to $1.6BApr 25, 2023 to Feb 2, 2024
- Individual RAUM · $153M to $197MApr 25, 2023 to Feb 2, 2024
- Pension RAUM · $195,984 to $60.2MApr 25, 2023 to Feb 2, 2024
- RAUM · $1.7B to $1.8BApr 25, 2023 to Feb 2, 2024
Signals
7 dated events
- M••• S••••• R••••••• L•• reported RAUM $2.4B, up 31% from $1.8B (2024-11-15 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- S•••• P•••••• L••••• left M••• S••••• R••••••• L•• for C••••••••• W•••••• L•• (registered 2025-01-02)Oct 27, 2023 · Advisor changed firm · fact
- M••• S••••• R••••••• L•• reported RAUM $2.0B, up 41% from $1.4B (2022-03-03 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- E••••• N•••••• Mcmahon (Chief Operating Officer) appeared on Schedule A of M••• S••••• R••••••• L••Mar 30, 2022 · Control person joined · fact
- M••• S••••• R••••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2021-01-04 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Ann Tamra Stern (Chief Compliance Officer) no longer on Schedule A of M••• S••••• R••••••• L•• (listed 2020-08-25, absent 2020-09-04)Sep 4, 2020 · Control person left · inference
- M••• S••••• R••••••• L•• reported RAUM $946.2M, up 33% from $709.2M (2017-09-08 to 2018-03-29)Mar 29, 2018 · 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
- Business phone
- 415-289-0105reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-341-3848reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-289-1010reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/main-street-researchreportedpublic record, Form ADV, Sep 18, 2026
- Website
- MS-R•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860.435.2350reportedpublic record, Form ADV, Apr 27, 2026
- Team page
- ms-research.com/who-we-arereportedpublished 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026