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

K•••• C•••••• • A••••••••• I•••

Former SEC-registered adviserFarmington, ConnecticutCRD 115582SEC 801-62658IAPD
Latest filing Sep 8, 2021
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$609M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$593M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$609M as of Sep 3, 2021
Aug 31, 2012$203M then
HNW client RAUM$493M as of Sep 3, 2021
Sep 4, 2018$326M then
State-registered IARs (5.B.3)5 as of Sep 3, 2021
Aug 31, 20120 then
Employees (5.A)9 as of Sep 3, 2021
Sep 27, 20136 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 5 to 5offices 2 to 3
Practice profile
derived from the filing of Sep 8, 2021; every figure names its basis
RAUM per advisor
$122MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$499,194derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$9.0M, 11 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)
  • 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$493M81%
  • Individuals$100M16%
  • Pension and profit-sharing plans$14.1M2.3%
  • Charitable organizations$924,2830.2%
  • Corporations and businesses$332,5290.1%
Individual clients
314reported
HNW clients
187reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
1,219reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$9.0M for 11 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• J••••••• P••• · Vice President/Secretarycontrol
      since 07/2005 · owns 50% to 75%
    • K•••• R•••••• A••• · President / Treasurer / Chief Compliance Officercontrol
      since 07/1999 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Wallingford, CT2 employees
    • , 1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,176 to 1,219
      May 18, 2021 to Sep 3, 2021
    • HNW clients · 175 to 187
      May 18, 2021 to Sep 3, 2021
    • Individual clients · 320 to 314
      May 18, 2021 to Sep 3, 2021
    • Pension plan clients · 15 to 11
      May 18, 2021 to Sep 3, 2021
    • Assets in custody · $40.0M to $9.0M
      May 18, 2021 to Sep 3, 2021
    • Employees · 8 to 9
      May 18, 2021 to Sep 3, 2021
    • Discretionary RAUM · $498M to $609M
      May 18, 2021 to Sep 3, 2021
    • HNW RAUM · $378M to $493M
      May 18, 2021 to Sep 3, 2021
    • Individual RAUM · $95.0M to $100M
      May 18, 2021 to Sep 3, 2021
    • Pension RAUM · $24.0M to $14.1M
      May 18, 2021 to Sep 3, 2021
    • RAUM · $498M to $609M
      May 18, 2021 to Sep 3, 2021
    • Other offices · 2 to 3
      Jan 28, 2021 to May 18, 2021
    • Accounts · 1,063 to 1,176
      Jun 29, 2020 to Jul 21, 2020
    • Advisory employees · 6 to 5
      Jun 29, 2020 to Jul 21, 2020
    • BD registered reps · 6 to 5
      Jun 29, 2020 to Jul 21, 2020
    • HNW clients · 173 to 175
      Jun 29, 2020 to Jul 21, 2020
    • Individual clients · 264 to 320
      Jun 29, 2020 to Jul 21, 2020
    • Pension plan clients · 10 to 15
      Jun 29, 2020 to Jul 21, 2020
    • Assets in custody · $4.3M to $40.0M
      Jun 29, 2020 to Jul 21, 2020
    • Employees · 9 to 8
      Jun 29, 2020 to Jul 21, 2020
    • State-registered IARs · 6 to 5
      Jun 29, 2020 to Jul 21, 2020
    • Discretionary RAUM · $450M to $498M
      Jun 29, 2020 to Jul 21, 2020
    • HNW RAUM · $357M to $378M
      Jun 29, 2020 to Jul 21, 2020
    • Individual RAUM · $82.3M to $95.0M
      Jun 29, 2020 to Jul 21, 2020
    • Pension RAUM · $9.8M to $24.0M
      Jun 29, 2020 to Jul 21, 2020
    • RAUM · $450M to $498M
      Jun 29, 2020 to Jul 21, 2020
    • Accounts · 991 to 1,063
      Feb 25, 2019 to Sep 19, 2019
    • Advisory employees · 5 to 6
      Feb 25, 2019 to Sep 19, 2019
    • HNW clients · 162 to 173
      Feb 25, 2019 to Sep 19, 2019
    • Individual clients · 274 to 264
      Feb 25, 2019 to Sep 19, 2019
    • Pension plan clients · unset to 10.0
      Feb 25, 2019 to Sep 19, 2019
    • Assets in custody · $2.3M to $4.3M
      Feb 25, 2019 to Sep 19, 2019
    • Insurance-licensed employees · 0 to 1
      Feb 25, 2019 to Sep 19, 2019
    • Discretionary RAUM · $415M to $450M
      Feb 25, 2019 to Sep 19, 2019
    • HNW RAUM · $326M to $357M
      Feb 25, 2019 to Sep 19, 2019
    • Individual RAUM · $85.2M to $82.3M
      Feb 25, 2019 to Sep 19, 2019
    • Pension RAUM · $3.0M to $9.8M
      Feb 25, 2019 to Sep 19, 2019
    • RAUM · $415M to $450M
      Feb 25, 2019 to Sep 19, 2019
    • Accounts · 1,029 to 991
      Sep 27, 2017 to Sep 4, 2018
    • Advisory activities · 3 to 5
      Sep 27, 2017 to Sep 4, 2018
    Signals
    6 dated events
    • D••••• J••• K•••••• left K•••• C•••••• • A••••••••• I••• for C••• L•• (registered 2022-05-09)
      May 12, 2022 · Advisor changed firm · fact
    • J•••• E• C•••••• left K•••• C•••••• • A••••••••• I••• for O•••• W•••••• I••• (registered 1993-10-27)
      May 12, 2022 · Advisor changed firm · fact
    • R••••• A••• K••• left K•••• C•••••• • A••••••••• I••• for O•••• W•••••• I••• (registered 1993-10-27)
      May 12, 2022 · Advisor changed firm · fact
    • K•••• C•••••• • A••••••••• I•••'s advisors moved to C••• L•• (Farmington, CT): 3 of 5 registered, on the same day
      May 12, 2022 · Firm absorbed (people side) · derived
    • J•••••• P••• C•••••• left K•••• C•••••• • A••••••••• I••• for C••• L•• (registered 2022-05-10)
      May 12, 2022 · Advisor changed firm · fact
    • A••••• R••• K••• left K•••• C•••••• • A••••••••• I••• for C••• L•• (registered 2022-05-09)
      May 12, 2022 · Advisor changed firm · fact
    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