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
C•••••• I••••••••• P•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape May 21, 2014 · 30 filings
SEC status approved since Jun 5, 2014
RAUM
$572M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$572M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$572M as of Mar 30, 2026
Mar 31, 2015$715M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 31, 20151 then
Employees (5.A)8 as of Mar 30, 2026
Mar 31, 201510 then
Private funds: no history
RAUM +10% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $572MderivedRAUM 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
- $63.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$564M99%
- Corporations and businesses$8.0M1.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.99 related_bd=true related_bank=true bd_reps=5.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• C•••••• | Hartford, Ct | Jul 18, 2023 | 20 y | 3 |
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
- D•••• A••••• C•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 18, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• L•••••• E•••• J• · Chief Executive Officer & Head Of Salescontrolsince 09/2010 · owns less than 5%
- D•••• M•••••• K•••••• · Head Of C•••••• North Americacontrolsince 10/2023 · owns less than 5%
- L••• J••• W•• · Managing Director, Cfocontrolsince 01/2011 · owns less than 5%
- P•••••• R••••• S•••••• · Managing Director, Chief Compliance Officercontrolsince 11/2005 · owns less than 5%
- S••••••• V• •••••• R• · Chief Legal Counsel/Corporate Secretarycontrolsince 01/2011 · owns less than 5%
- G•••••• K•••••• R••••• · Finopsince 01/2006 · owns less than 5%
Entity owners
- C•••••• • C•••••• · Shareholderdirect · owns 75% or more
- A••••••••• G••••••• S•••• · Shareholderindirect · owns 75% or more of G••••••• Investment Holding S.P.A
- C•••••• H••••••• C••• · Shareholderindirect · owns 75% or more of C•••••• • C••••••
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• U••• H•••••••• I•••
- C•••••• U••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• C•••.
- G••••••• I••••••••• H•••••• S•••• · Shareholderindirect · owns 75% or more of C•••••• Holding L••••••
Related persons
Schedule D 7.A
- C•••••• A••• P•••••• L•••••• •••• K••••broker-dealerinvestment advisern
- C•••••• A•••• M••••••••• ••• L•••broker-dealerinvestment advisern
- C••••••• I•••investment adviserbanknRAUM $107B
- G••••• E•••••••• A•••• M••••••••• A••investment advisern
- G••••• E•••••••• F••• M••••••••• S••••••••• P••• L•••investment advisern
- G••••• E•••••••• M•••• S•investment advisern
- G••••• E•••••••• U••• L••investment advisernRAUM $1.2B
- G•••••• C•••••• A•••••••• I•••investment advisernRAUM $987M
- O•••••• C••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $35B
- O•••••• C••••• O••••••••• G•• L••pooled vehicle sponsorn
- O•••••• F•••• G• I•• L••pooled vehicle sponsory
- O•••••• F•••• G• L••pooled vehicle sponsorn
- O•••••• F•••• I• G•• L••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• I•• L•••••pooled vehicle sponsorn
- P•••••••• M•••••••• R••••• P••••••• G• V• L•••••pooled vehicle sponsorn
- P•••••••• R••• E••••• S•••••••• L•••••investment companyn
- P•••••••• R••• E•••••• L•••••pooled vehicle sponsorn
- P•• G• I• L•••••pooled vehicle sponsorn
- P•• G• I•• L•••••pooled vehicle sponsorn
- P••• I••••••••• A•••••••• L•••••investment advisernRAUM $1.9B
Advisers that list C•••••• I••••••••• P•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $518M to $572MNov 11, 2025 to Mar 30, 2026
- RAUM · $518M to $572MNov 11, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Nov 11, 2025
- Accounts · 3 to 9Apr 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $486M to $518MApr 18, 2024 to Mar 27, 2025
- RAUM · $486M to $518MApr 18, 2024 to Mar 27, 2025
- Accounts · 8 to 3Oct 2, 2023 to Mar 26, 2024
- Advisory employees · 3 to 5Oct 2, 2023 to Mar 26, 2024
- BD registered reps · 6 to 5Oct 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $429M to $486MOct 2, 2023 to Mar 26, 2024
- RAUM · $429M to $486MOct 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $426M to $429MNov 4, 2022 to Mar 29, 2023
- RAUM · $426M to $429MNov 4, 2022 to Mar 29, 2023
- Discretionary RAUM · $514M to $426MMar 25, 2021 to Mar 28, 2022
- RAUM · $514M to $426MMar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $471M to $514MOct 6, 2020 to Mar 25, 2021
- RAUM · $471M to $514MOct 6, 2020 to Mar 25, 2021
- Accounts · 7 to 8Mar 26, 2019 to Mar 26, 2020
- BD registered reps · 4 to 6Mar 26, 2019 to Mar 26, 2020
- Discretionary RAUM · $346M to $471MMar 26, 2019 to Mar 26, 2020
- RAUM · $346M to $471MMar 26, 2019 to Mar 26, 2020
- Advisory employees · 4 to 3Aug 14, 2018 to Mar 26, 2019
- BD registered reps · 5 to 4Aug 14, 2018 to Mar 26, 2019
- Employees · 9 to 8Aug 14, 2018 to Mar 26, 2019
- Discretionary RAUM · $333M to $346MAug 14, 2018 to Mar 26, 2019
- RAUM · $333M to $346MAug 14, 2018 to Mar 26, 2019
- Accounts · 6 to 7Mar 30, 2017 to Mar 27, 2018
- Advisory employees · 10 to 4Mar 30, 2017 to Mar 27, 2018
- BD registered reps · 6 to 5Mar 30, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Employees · 10 to 9Mar 30, 2017 to Mar 27, 2018
- State-registered IARs · 2 to 1Mar 30, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Discretionary RAUM · $303M to $333MMar 30, 2017 to Mar 27, 2018
- HNW RAUM · unset to 0.0Mar 30, 2017 to Mar 27, 2018
Signals
4 dated events
- Matthew Kenneth Daly (Head Of Conning North America) appeared on Schedule A of C•••••• I••••••••• P•••••••• I•••Apr 16, 2024 · Control person joined · fact
- Michael Edward Haylon (Managing Director, Head Of Conning North America) no longer on Schedule A of C•••••• I••••••••• P•••••••• I••• (listed 2023-08-04, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- C•••••• I••••••••• P•••••••• I••• reported RAUM $470.9M, up 36% from $346.4M (2019-03-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- C•••••• R••••••• • C••••••••• I••• filed its initial SEC registration (Form ADV)May 21, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• I••••••••• P•••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-299-2000reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $572Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026