DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••• F••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jun 25, 2024 · 5 filings
SEC status approved since Jul 25, 2024
RAUM
$119M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
78%
$92.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$119M as of Mar 23, 2026
May 1, 2025$111M then
HNW client RAUM$66.5M as of Mar 23, 2026
May 1, 2025$59.5M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
May 1, 20252 then
Employees (5.A)4 as of Mar 23, 2026
May 1, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $386,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.5M56%
- Individuals$26.2M22%
- Pension and profit-sharing plans$19.7M17%
- Corporations and businesses$6.5M5.5%
- Charitable organizations$184,5670.2%
- Individual clients
- 93reported
- HNW clients
- 28reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 308reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• J••• N•• S•••••••Certified Financial Planner | Essex, Ct | Jan 7, 2009 | 18 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
- A••••• S•••••• to A••••••••• F•••••••• S•••••••• L••Jul 3, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• S•••••• from L•• F•••••••• L••Feb 7, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M••• J•••• N•• · Sole Owner/Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
- M•• I•••••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Essex, Ct · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 300 to 308Jul 3, 2025 to Mar 23, 2026
- Advisory employees · 1 to 2Jul 3, 2025 to Mar 23, 2026
- Charity clients · 2 to 1Jul 3, 2025 to Mar 23, 2026
- HNW clients · 30 to 28Jul 3, 2025 to Mar 23, 2026
- Individual clients · 91 to 93Jul 3, 2025 to Mar 23, 2026
- Employees · 3 to 4Jul 3, 2025 to Mar 23, 2026
- State-registered IARs · 1 to 2Jul 3, 2025 to Mar 23, 2026
- HNW RAUM · $59.5M to $66.5MJul 3, 2025 to Mar 23, 2026
- Individual RAUM · $27.6M to $26.2MJul 3, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $111M to $119MJul 3, 2025 to Mar 23, 2026
- Pension RAUM · $15.8M to $19.7MJul 3, 2025 to Mar 23, 2026
- RAUM · $111M to $119MJul 3, 2025 to Mar 23, 2026
- Advisory employees · 2 to 1May 1, 2025 to Jul 3, 2025
- Employees · 4 to 3May 1, 2025 to Jul 3, 2025
- Financial planning clients · 101-250 to 101-250May 1, 2025 to Jul 3, 2025
- State-registered IARs · 2 to 1May 1, 2025 to Jul 3, 2025
- Accounts · 275 to 300Aug 20, 2024 to May 1, 2025
- HNW clients · 52 to 30Aug 20, 2024 to May 1, 2025
- Individual clients · 62 to 91Aug 20, 2024 to May 1, 2025
- HNW RAUM · $67.9M to $59.5MAug 20, 2024 to May 1, 2025
- Individual RAUM · $12.9M to $27.6MAug 20, 2024 to May 1, 2025
- Non-discretionary RAUM · $104M to $111MAug 20, 2024 to May 1, 2025
- Pension RAUM · $17.2M to $15.8MAug 20, 2024 to May 1, 2025
- RAUM · $104M to $111MAug 20, 2024 to May 1, 2025
Signals
2 dated events
- A••••• S•••••• left S••••••• F••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-16)Jul 3, 2025 · Advisor changed firm · fact
- S••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jun 25, 2024 · First SEC registration · fact
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
- 860-657-4150reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/10986320reportedpublic record, Form ADV, Sep 21, 2026
- Website
- s••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (860)657-4150reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- s••••••.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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026