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
P•••••• C•••••• A•••••••• L••
Latest filing Aug 25, 2026
First filing on the tape Mar 22, 2012 · 36 filings
SEC status approved since Oct 11, 2005
RAUM
$842M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$842M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$842M as of Aug 25, 2026
Mar 22, 2012$124M then
HNW client RAUM$713M as of Aug 25, 2026
Mar 7, 2018$224M then
State-registered IARs (5.B.3)4 as of Aug 25, 2026
Mar 22, 20120 then
Employees (5.A)8 as of Aug 25, 2026
Mar 15, 20133 then
Private funds: no history
RAUM +33% over the last fiscal year+23% a year over threeIARs 3 to 4offices 2 to 3
Practice profile
derived from the filing of Aug 25, 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
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $675,886derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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$713M85%
- Individuals$130M15%
- Individual clients
- 252reported
- HNW clients
- 157reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,246reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| R•••••• A•••• P••••••Certified Financial Planner | Ridgefield, Ct | May 15, 2003 | 32 y | 0 |
| T••••• P•••••• S••••Certified Financial Planner | Ridgefield, Ct | Oct 12, 2017 | 28 y | 1 |
| D•••• Y• L••Chartered Financial Analyst | Harrisburg, Pa | Jun 13, 2025 | 14 y | 2 |
| G•••••• E••••• B••••••• | Ridgefield, Ct | Aug 11, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• O•••• to E••••• A•••• M••••••••• L••Nov 2, 2022 · RIA to a state-registered adviser
Joined, latest
- G•••••• E••••• B••••••• from N•• A•• A••••Aug 11, 2026 · Other
- D•••• Y• L•• from H•••••••• A•••••••• L••Jun 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••••• P•••••• S•••• from H••••••• A•••••••Oct 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• R••••••• A•••• · Managing Member / Chief Compliance Officercontrolsince 03/2003 · owns 75% or more
Related persons
Schedule D 7.A
- S••• W••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ridgefield, Ct | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 19, 2026accounts (Item 5.F.2.f) moved from 337.0 to 1,246.0 (+270.0%) between the annual amendments of 2025-03-04 and 2026-02-19; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 337 to 1,246Jan 13, 2026 to Feb 19, 2026
- Advisory employees · 3 to 4Jan 13, 2026 to Feb 19, 2026
- HNW clients · 128 to 157Jan 13, 2026 to Feb 19, 2026
- Individual clients · 209 to 252Jan 13, 2026 to Feb 19, 2026
- State-registered IARs · 3 to 4Jan 13, 2026 to Feb 19, 2026
- Discretionary RAUM · $633M to $842MJan 13, 2026 to Feb 19, 2026
- HNW RAUM · $540M to $713MJan 13, 2026 to Feb 19, 2026
- Individual RAUM · $93.5M to $130MJan 13, 2026 to Feb 19, 2026
- RAUM · $633M to $842MJan 13, 2026 to Feb 19, 2026
- Related adviser · true to falseJan 13, 2026 to Feb 19, 2026
- Other offices · 2 to 3May 23, 2025 to Nov 6, 2025
- Financial planning clients · 251-500 to 251-500Mar 4, 2025 to May 23, 2025
- Accounts · 290 to 337Sep 20, 2024 to Mar 4, 2025
- HNW clients · 100 to 128Sep 20, 2024 to Mar 4, 2025
- Individual clients · 190 to 209Sep 20, 2024 to Mar 4, 2025
- Employees · 7 to 8Sep 20, 2024 to Mar 4, 2025
- HQ city · unset to Sep 20, 2024 to Mar 4, 2025
- HQ state · unset to Sep 20, 2024 to Mar 4, 2025
- Discretionary RAUM · $514M to $633MSep 20, 2024 to Mar 4, 2025
- HNW RAUM · $442M to $540MSep 20, 2024 to Mar 4, 2025
- Individual RAUM · $72.6M to $93.5MSep 20, 2024 to Mar 4, 2025
- RAUM · $514M to $633MSep 20, 2024 to Mar 4, 2025
- Accounts · 266 to 290Sep 12, 2023 to Mar 6, 2024
- HNW clients · 98 to 100Sep 12, 2023 to Mar 6, 2024
- Individual clients · 168 to 190Sep 12, 2023 to Mar 6, 2024
- Employees · 6 to 7Sep 12, 2023 to Mar 6, 2024
- Insurance-licensed employees · 0 to 1Sep 12, 2023 to Mar 6, 2024
- Discretionary RAUM · $453M to $514MSep 12, 2023 to Mar 6, 2024
- HNW RAUM · $389M to $442MSep 12, 2023 to Mar 6, 2024
- Individual RAUM · $63.9M to $72.6MSep 12, 2023 to Mar 6, 2024
- RAUM · $453M to $514MSep 12, 2023 to Mar 6, 2024
- Other offices · 1 to 2Aug 25, 2023 to Sep 12, 2023
- Related adviser · false to trueJun 21, 2023 to Aug 25, 2023
- Accounts · 260 to 266Nov 16, 2022 to Mar 2, 2023
- Advisory employees · 4 to 3Nov 16, 2022 to Mar 2, 2023
- HNW clients · 103 to 98Nov 16, 2022 to Mar 2, 2023
- Individual clients · 157 to 168Nov 16, 2022 to Mar 2, 2023
- State-registered IARs · 4 to 3Nov 16, 2022 to Mar 2, 2023
- Discretionary RAUM · $492M to $453MNov 16, 2022 to Mar 2, 2023
- HNW RAUM · $435M to $389MNov 16, 2022 to Mar 2, 2023
Signals
2 dated events
- P•••••• C•••••• A•••••••• L•• reported RAUM $842.2M, up 33% from $633.0M (2026-01-13 to 2026-02-19)Feb 19, 2026 · RAUM change · derived
- K•••• O•••• left P•••••• C•••••• A•••••••• L•• for E••••• A•••• M••••••••• L•• (registered 2022-11-02)Nov 2, 2022 · Advisor changed firm · 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 email
- info@pcapadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- allen@pcapadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- karen@pcapadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- laurie@pcapadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tom@pcapadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-431-5862reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-431-5863reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- pcapadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 431-5862reportedpublic record, Form ADV, Aug 25, 2026
- Team page
- pcapadvisors.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026