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

R•••••• B•••• A•••• M••••••••• L••

Former SEC-registered adviserDarien, ConnecticutCRD 121956SEC 801-61367IAPD
Latest filing Feb 26, 2019
First filing on the tape Feb 21, 2012 · 19 filings
RAUM
$373M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$368M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$373M as of Feb 26, 2019
Feb 21, 2012$346M then
HNW client RAUM$365M as of Feb 26, 2019
Mar 22, 2018$375M then
State-registered IARs (5.B.3)5 as of Feb 26, 2019
Feb 21, 20120 then
Employees (5.A)5 as of Feb 26, 2019
Feb 15, 20136 then
Private funds: no history
RAUM -2.2% over the last fiscal year-11% a year over threeIARs 2 to 5
Practice profile
derived from the filing of Feb 26, 2019; every figure names its basis
RAUM per advisor
$74.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.2%derivedbetween the last two annual amendments
Advisor growth, one year
+150%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$365M98%
  • Charitable organizations$5.6M1.5%
  • Individuals$2.4M0.7%
Individual clients
11reported
HNW clients
260reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
272reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• B••••••• R••••• · Membercontrol
      since 05/2004 · owns 10% to 25%
    • R••••••• R•••••• S•••• · Managing Director/Chief Compliance Officercontrol
      since 07/2002 · owns 50% to 75%
    • B••••• E••••• R• · Member
      since 05/2004 · owns 5% to 10%
    • B••••• J••••• M• · Member
      since 05/2004 · owns less than 5%
    • R•••••••• S•••• · Member
      since 05/2004 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 283 to 272
      Mar 22, 2018 to Feb 26, 2019
    • Advisory employees · 3 to 5
      Mar 22, 2018 to Feb 26, 2019
    • HNW clients · 266 to 260
      Mar 22, 2018 to Feb 26, 2019
    • Individual clients · 17 to 11
      Mar 22, 2018 to Feb 26, 2019
    • Employees · 4 to 5
      Mar 22, 2018 to Feb 26, 2019
    • State-registered IARs · 2 to 5
      Mar 22, 2018 to Feb 26, 2019
    • Discretionary RAUM · $382M to $373M
      Mar 22, 2018 to Feb 26, 2019
    • HNW RAUM · $375M to $365M
      Mar 22, 2018 to Feb 26, 2019
    • Individual RAUM · $1.4M to $2.4M
      Mar 22, 2018 to Feb 26, 2019
    • RAUM · $382M to $373M
      Mar 22, 2018 to Feb 26, 2019
    • Accounts · 274 to 283
      Mar 31, 2017 to Mar 22, 2018
    • Charity clients · unset to 1.0
      Mar 31, 2017 to Mar 22, 2018
    • HNW clients · unset to 266.0
      Mar 31, 2017 to Mar 22, 2018
    • Individual clients · unset to 17.0
      Mar 31, 2017 to Mar 22, 2018
    • Employees · 3 to 4
      Mar 31, 2017 to Mar 22, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Mar 22, 2018
    • Discretionary RAUM · $370M to $382M
      Mar 31, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 375208000.0
      Mar 31, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 1392000.0
      Mar 31, 2017 to Mar 22, 2018
    • RAUM · $370M to $382M
      Mar 31, 2017 to Mar 22, 2018
    • Discretionary RAUM · $362M to $370M
      Mar 1, 2017 to Mar 28, 2017
    • RAUM · $362M to $370M
      Mar 1, 2017 to Mar 28, 2017
    • Accounts · 534 to 274
      Dec 6, 2016 to Mar 1, 2017
    • Advisory employees · 5 to 3
      Dec 6, 2016 to Mar 1, 2017
    • Employees · 5 to 3
      Dec 6, 2016 to Mar 1, 2017
    • State-registered IARs · 5 to 2
      Dec 6, 2016 to Mar 1, 2017
    • Discretionary RAUM · $532M to $362M
      Dec 6, 2016 to Mar 1, 2017
    • RAUM · $532M to $362M
      Dec 6, 2016 to Mar 1, 2017
    • Accounts · 526 to 534
      Jul 20, 2015 to Mar 3, 2016
    • Employees · 6 to 5
      Jul 20, 2015 to Mar 3, 2016
    • Discretionary RAUM · $506M to $532M
      Jul 20, 2015 to Mar 3, 2016
    • RAUM · $506M to $532M
      Jul 20, 2015 to Mar 3, 2016
    • Accounts · 499 to 526
      Jan 13, 2014 to Feb 4, 2015
    • Advisory employees · 3 to 5
      Jan 13, 2014 to Feb 4, 2015
    • Discretionary RAUM · $494M to $506M
      Jan 13, 2014 to Feb 4, 2015
    • RAUM · $494M to $506M
      Jan 13, 2014 to Feb 4, 2015
    • Accounts · 472 to 499
      Aug 2, 2013 to Jan 9, 2014
    • Advisory employees · 4 to 3
      Aug 2, 2013 to Jan 9, 2014
    • State-registered IARs · 4 to 5
      Aug 2, 2013 to Jan 9, 2014
    • Discretionary RAUM · $515M to $494M
      Aug 2, 2013 to Jan 9, 2014
    Signals
    No event on the tape.
    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