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
D••• H••• C••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Nov 7, 2011 · 32 filings
SEC status approved since Mar 27, 2006
RAUM
$194M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$194M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$194M as of Jul 2, 2026
Mar 27, 2012$113M then
HNW client RAUM$185M as of Jul 2, 2026
Mar 20, 2018$159M then
State-registered IARs (5.B.3)3 as of Jul 2, 2026
Mar 27, 20120 then
Employees (5.A)3 as of Jul 2, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+7.3% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Sep 2, 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
- $48.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $925,144derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $5.9M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$185M95%
- Individuals$9.1M4.7%
- Charitable organizations$18,5410.0%
- Individual clients
- 29reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 210reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.9M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C•••••• N••••••••• | Westport, Ct | Aug 20, 1998 | 41 y | 0 |
| Z•••••• R••• O•••• | Westport, Ct | Nov 30, 2012 | 14 y | 0 |
| R••••• S•••• W••• | Westport, Ct | Nov 10, 2014 | 24 y | 0 |
| F•••• T•••• B•••••• | New Rochelle, Ny | Aug 31, 2026 | 10 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• D••••• C•••••• · Chief Investment Officer And Senior Advisor / Membercontrolsince 03/2024 · owns 50% to 75%
- O••••• Z••••••• R••• · Managing Partner And Director Of Investment Research / Membercontrolsince 03/2024 · owns 25% to 50%
- W•••• R•••••• S•••• · Director Of Operations And Chief Compliance Officer / Membercontrolsince 03/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Westport, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jul 2, 2026 to Sep 2, 2026
- Related adviser · false to unsetJul 2, 2026 to Sep 2, 2026
- Related bank · false to unsetJul 2, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetJul 2, 2026 to Sep 2, 2026
- Related insurance company · false to unsetJul 2, 2026 to Sep 2, 2026
- Succession · false to unsetJul 2, 2026 to Sep 2, 2026
- Other offices · 0 to 1Mar 17, 2026 to Jul 2, 2026
- Accounts · 212 to 210Mar 17, 2025 to Mar 17, 2026
- HNW clients · 40 to 43Mar 17, 2025 to Mar 17, 2026
- Individual clients · 31 to 29Mar 17, 2025 to Mar 17, 2026
- Assets in custody · $5.4M to $5.9MMar 17, 2025 to Mar 17, 2026
- Discretionary RAUM · $149M to $172MMar 17, 2025 to Mar 17, 2026
- HNW RAUM · $162M to $185MMar 17, 2025 to Mar 17, 2026
- Individual RAUM · $8.8M to $9.1MMar 17, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $21.7M to $22.7MMar 17, 2025 to Mar 17, 2026
- RAUM · $170M to $194MMar 17, 2025 to Mar 17, 2026
- Accounts · 221 to 212Jul 1, 2024 to Mar 17, 2025
- HNW clients · 38 to 40Jul 1, 2024 to Mar 17, 2025
- Individual clients · 36 to 31Jul 1, 2024 to Mar 17, 2025
- Assets in custody · $5.6M to $5.4MJul 1, 2024 to Mar 17, 2025
- Financial planning clients · 26-50 to 26-50Jul 1, 2024 to Mar 17, 2025
- Discretionary RAUM · $149M to $149MJul 1, 2024 to Mar 17, 2025
- HNW RAUM · $156M to $162MJul 1, 2024 to Mar 17, 2025
- Individual RAUM · $13.0M to $8.8MJul 1, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $20.4M to $21.7MJul 1, 2024 to Mar 17, 2025
- RAUM · $169M to $170MJul 1, 2024 to Mar 17, 2025
- Accounts · 203 to 221Mar 28, 2023 to Mar 22, 2024
- HNW clients · 36 to 38Mar 28, 2023 to Mar 22, 2024
- Individual clients · 33 to 36Mar 28, 2023 to Mar 22, 2024
- Assets in custody · $9.2M to $5.6MMar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $141M to $149MMar 28, 2023 to Mar 22, 2024
- HNW RAUM · $147M to $156MMar 28, 2023 to Mar 22, 2024
- Individual RAUM · $9.8M to $13.0MMar 28, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $16.0M to $20.4MMar 28, 2023 to Mar 22, 2024
- RAUM · $157M to $169MMar 28, 2023 to Mar 22, 2024
- Accounts · 197 to 203Jun 7, 2022 to Mar 28, 2023
- Individual clients · 31 to 33Jun 7, 2022 to Mar 28, 2023
- Assets in custody · $10.9M to $9.2MJun 7, 2022 to Mar 28, 2023
- Discretionary RAUM · $151M to $141MJun 7, 2022 to Mar 28, 2023
- HNW RAUM · $158M to $147MJun 7, 2022 to Mar 28, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- info@drumhill.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-349-8182reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- D•••H•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-349-8182reportedpublic record, Form ADV, Sep 2, 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
- $48.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026