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
F••••••• C•••••• M••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Mar 2, 2012 · 27 filings
SEC status approved since Jan 30, 2002
RAUM
$920M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
97%
$889M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$920M as of Feb 25, 2026
Mar 2, 2012$145M then
HNW client RAUM$860M as of Feb 25, 2026
Mar 7, 2018$177M then
State-registered IARs (5.B.3)4 as of Feb 25, 2026
Mar 2, 20120 then
Employees (5.A)5 as of Feb 25, 2026
Mar 21, 20133 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $323M, 92 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$860M93%
- Individuals$29.2M3.2%
- Charitable organizations$27.6M3.0%
- Corporations and businesses$3.3M0.4%
- Individual clients
- 83reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 538reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $323M for 92 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• E••••• C••• | Hartford, Ct | Jan 2, 2003 | 55 y | 0 |
| P•••••• A••• T•••••• | Hartford, Ct | Jan 7, 2005 | 29 y | 1 |
| T•• P•••••• T••••••Certified Financial Planner | Hartford, Ct | Nov 7, 2017 | 10 y | 0 |
| A••• C•••Certified Financial Planner | Hartford, Ct | May 13, 2022 | 14 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
- J•••••• L••••••• A•••••• to S••••••••• W••••• M••••••••• L••Nov 30, 2022 · RIA to RIA
Joined, latest
- J•••••• L••••••• A•••••• from N•••• F••• I••••••••• L••Jun 27, 2018 · Other
- P•••••• A••• T•••••• from T•••••• G••••• L••Jan 7, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• H•••••• E••••• · Membercontrolsince 11/2001 · owns 50% to 75%
- T••••••• P••••••• A••• · Chief Compliance Officer/Membercontrolsince 11/2003 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Hartford, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 7 to 6Oct 9, 2025 to Feb 25, 2026
- Accounts · 508 to 538Oct 9, 2025 to Feb 25, 2026
- HNW clients · 132 to 134Oct 9, 2025 to Feb 25, 2026
- Individual clients · 71 to 83Oct 9, 2025 to Feb 25, 2026
- Assets in custody · $244M to $323MOct 9, 2025 to Feb 25, 2026
- Financial planning clients · 11-25 to 0Oct 9, 2025 to Feb 25, 2026
- Discretionary RAUM · $704M to $810MOct 9, 2025 to Feb 25, 2026
- HNW RAUM · $747M to $860MOct 9, 2025 to Feb 25, 2026
- Individual RAUM · $23.5M to $29.2MOct 9, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $90.8M to $110MOct 9, 2025 to Feb 25, 2026
- RAUM · $795M to $920MOct 9, 2025 to Feb 25, 2026
- Financial planning clients · 11-25 to 11-25Apr 17, 2025 to Jun 12, 2025
- HQ city · EAST HARTFORD to HARTFORDApr 17, 2025 to Jun 12, 2025
- Accounts · 477 to 508Feb 23, 2024 to Mar 3, 2025
- Charity clients · 6 to 7Feb 23, 2024 to Mar 3, 2025
- Corporate clients · unset to 1.0Feb 23, 2024 to Mar 3, 2025
- HNW clients · 96 to 132Feb 23, 2024 to Mar 3, 2025
- Individual clients · 58 to 71Feb 23, 2024 to Mar 3, 2025
- Assets in custody · $249M to $244MFeb 23, 2024 to Mar 3, 2025
- Discretionary RAUM · $601M to $704MFeb 23, 2024 to Mar 3, 2025
- HNW RAUM · $653M to $747MFeb 23, 2024 to Mar 3, 2025
- Individual RAUM · $22.8M to $23.5MFeb 23, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $93.1M to $90.8MFeb 23, 2024 to Mar 3, 2025
- RAUM · $694M to $795MFeb 23, 2024 to Mar 3, 2025
- Accounts · 462 to 477Oct 5, 2023 to Feb 23, 2024
- Charity clients · 5 to 6Oct 5, 2023 to Feb 23, 2024
- HNW clients · 79 to 96Oct 5, 2023 to Feb 23, 2024
- Individual clients · 78 to 58Oct 5, 2023 to Feb 23, 2024
- Assets in custody · $203M to $249MOct 5, 2023 to Feb 23, 2024
- Financial planning clients · 1-10 to 11-25Oct 5, 2023 to Feb 23, 2024
- Discretionary RAUM · $456M to $601MOct 5, 2023 to Feb 23, 2024
- HNW RAUM · $498M to $653MOct 5, 2023 to Feb 23, 2024
- Individual RAUM · $34.6M to $22.8MOct 5, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $87.9M to $93.1MOct 5, 2023 to Feb 23, 2024
- RAUM · $544M to $694MOct 5, 2023 to Feb 23, 2024
- Accounts · 454 to 462Feb 25, 2022 to Mar 2, 2023
- Advisory activities · 2 to 3Feb 25, 2022 to Mar 2, 2023
- HNW clients · 99 to 79Feb 25, 2022 to Mar 2, 2023
- Individual clients · 57 to 78Feb 25, 2022 to Mar 2, 2023
- Assets in custody · unset to 203000000.0Feb 25, 2022 to Mar 2, 2023
Signals
4 dated events
- F••••••• C•••••• M••••••••• L•• reported RAUM $693.8M, up 28% from $543.9M (2023-10-05 to 2024-02-23)Feb 23, 2024 · RAUM change · derived
- F••••••• C•••••• M••••••••• L•• reported RAUM $543.9M, down 28% from $750.8M (2022-02-25 to 2023-03-02)Mar 2, 2023 · RAUM change · derived
- J•••••• L••••••• A•••••• left F••••••• C•••••• M••••••••• L•• for S••••••••• W••••• M••••••••• L•• (registered 2026-01-30)Nov 30, 2022 · Advisor changed firm · fact
- F••••••• C•••••• M••••••••• L•• reported RAUM $750.8M, up 58% from $474.5M (2021-09-29 to 2022-02-25)Feb 25, 2022 · 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 email
- l••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-282-0441reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-308-0061reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860.308.0061reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026