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
S•••• P•••••••• A•••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jan 29, 2021 · 9 filings
SEC status approved since Mar 1, 2021
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$151M as of Feb 17, 2026
Jan 31, 2022$119M then
HNW client RAUM$129M as of Feb 17, 2026
Jan 31, 2022$98.3M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Jan 31, 20222 then
Employees (5.A)3 as of Feb 17, 2026
Jan 31, 20223 then
Private funds: no history
RAUM +22% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $427,926derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $40.1M, 48 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M86%
- Individuals$21.9M14%
- Individual clients
- 77reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 353reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.1M for 48 clientsreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• L•• P•••••Certified Financial Planner | Mystic, Ct | Nov 8, 1999 | 40 y | 0 |
| B•••• J•••• W•••• | Mystic, Ct | Feb 5, 2018 | 11 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
- P•••••• T•••••••• L•• · President, Chief Compliance Officer, And Managing Membercontrolsince 07/1999 · owns 50% to 75%
- W••••• B••••• J•••• · Financial Adviser And Membercontrolsince 01/2018 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Mystic, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 350 to 353Dec 5, 2025 to Feb 17, 2026
- HNW clients · 64 to 62Dec 5, 2025 to Feb 17, 2026
- Individual clients · 72 to 77Dec 5, 2025 to Feb 17, 2026
- Assets in custody · $41.1M to $40.1MDec 5, 2025 to Feb 17, 2026
- Discretionary RAUM · $124M to $151MDec 5, 2025 to Feb 17, 2026
- HNW RAUM · $108M to $129MDec 5, 2025 to Feb 17, 2026
- Individual RAUM · $15.8M to $21.9MDec 5, 2025 to Feb 17, 2026
- RAUM · $124M to $151MDec 5, 2025 to Feb 17, 2026
- Accounts · 352 to 350Feb 29, 2024 to Feb 5, 2025
- HNW clients · 71 to 64Feb 29, 2024 to Feb 5, 2025
- Individual clients · 66 to 72Feb 29, 2024 to Feb 5, 2025
- Assets in custody · $38.6M to $41.1MFeb 29, 2024 to Feb 5, 2025
- Financial planning clients · unset to Feb 29, 2024 to Feb 5, 2025
- Discretionary RAUM · $116M to $124MFeb 29, 2024 to Feb 5, 2025
- HNW RAUM · $103M to $108MFeb 29, 2024 to Feb 5, 2025
- Individual RAUM · $13.3M to $15.8MFeb 29, 2024 to Feb 5, 2025
- RAUM · $116M to $124MFeb 29, 2024 to Feb 5, 2025
- Accounts · 348 to 352Nov 1, 2023 to Feb 29, 2024
- HNW clients · 66 to 71Nov 1, 2023 to Feb 29, 2024
- Individual clients · 74 to 66Nov 1, 2023 to Feb 29, 2024
- Assets in custody · $23.1M to $38.6MNov 1, 2023 to Feb 29, 2024
- Discretionary RAUM · $106M to $116MNov 1, 2023 to Feb 29, 2024
- HNW RAUM · $92.5M to $103MNov 1, 2023 to Feb 29, 2024
- Individual RAUM · $13.9M to $13.3MNov 1, 2023 to Feb 29, 2024
- RAUM · $106M to $116MNov 1, 2023 to Feb 29, 2024
- Accounts · 343 to 348Jan 31, 2022 to Feb 16, 2023
- HNW clients · 58 to 66Jan 31, 2022 to Feb 16, 2023
- Individual clients · 79 to 74Jan 31, 2022 to Feb 16, 2023
- Assets in custody · $78.8M to $23.1MJan 31, 2022 to Feb 16, 2023
- Discretionary RAUM · $119M to $106MJan 31, 2022 to Feb 16, 2023
- HNW RAUM · $98.3M to $92.5MJan 31, 2022 to Feb 16, 2023
- Individual RAUM · $21.0M to $13.9MJan 31, 2022 to Feb 16, 2023
- RAUM · $119M to $106MJan 31, 2022 to Feb 16, 2023
- Accounts · 375 to 343Oct 26, 2021 to Jan 31, 2022
- HNW clients · 47 to 58Oct 26, 2021 to Jan 31, 2022
- Individual clients · 76 to 79Oct 26, 2021 to Jan 31, 2022
- Assets in custody · $18.7M to $78.8MOct 26, 2021 to Jan 31, 2022
- Discretionary RAUM · $108M to $119MOct 26, 2021 to Jan 31, 2022
- HNW RAUM · $87.4M to $98.3MOct 26, 2021 to Jan 31, 2022
- Individual RAUM · $20.9M to $21.0MOct 26, 2021 to Jan 31, 2022
Signals
1 dated events
- S•••• P•••••••• A••••••• filed its initial SEC registration (Form ADV)Jan 29, 2021 · 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
- 860-572-2737reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/parker-financial-planning-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••P••••••••S.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-572-2737reportedpublic record, Form ADV, Feb 17, 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
- $75.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026