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.
SEC-registered adviser
Briggs Wealth Management, Inc.
Latest filing Feb 11, 2026
First filing on the tape Jan 23, 2012 · 35 filings
SEC status approved since Jun 30, 2006
RAUM
$362M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$362M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$362M as of Feb 11, 2026
Jan 23, 2012$90.6M then
HNW client RAUM$305M as of Feb 11, 2026
Jan 30, 2018$136M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Jan 23, 20120 then
Employees (5.A)6 as of Feb 11, 2026
Jan 31, 20133 then
Private funds: no history
RAUM +40% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $525,437derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$305M84%
- Individuals$57.5M16%
- Individual clients
- 42reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 689reported
- Financial planning clients
- 101-250reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Vincent BriggsCertified Financial Planner | Glastonbury, Ct | Oct 19, 2000 | 29 y | 0 |
| William Naldo RodriguezCertified Financial Planner | Glastonbury, Ct | Sep 5, 2019 | 21 y | 3 |
| Benjamin James Carlson | Glastonbury, Ct | Apr 30, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Gary Stephen Radler to Osaic Fa, Inc.Aug 4, 2004 · Other
Joined, latest
- Benjamin James Carlson from Johnson BrunettiApr 30, 2026 · RIA to RIA
- William Naldo Rodriguez from Key Investment Services LLCSep 5, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Vincent Mark Briggs · Managing Member/Chief Compliance Officercontrolsince 08/2000 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 11, 2026RAUM (Item 5.F) moved from $258,725,939 to $362,026,338 (+40.0%) between the annual amendments of 2025-02-12 and 2026-02-11; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 696 to 689Jul 2, 2025 to Jan 31, 2026
- HNW clients · 87 to 90Jul 2, 2025 to Jan 31, 2026
- Individual clients · 43 to 42Jul 2, 2025 to Jan 31, 2026
- Assets in custody · $19.1M to $18.7MJul 2, 2025 to Jan 31, 2026
- Discretionary RAUM · $204M to $307MJul 2, 2025 to Jan 31, 2026
- HNW RAUM · $220M to $305MJul 2, 2025 to Jan 31, 2026
- Individual RAUM · $38.4M to $57.5MJul 2, 2025 to Jan 31, 2026
- Non-discretionary RAUM · $54.4M to $55.0MJul 2, 2025 to Jan 31, 2026
- RAUM · $259M to $362MJul 2, 2025 to Jan 31, 2026
- Financial planning clients · 101-250 to 101-250Jun 24, 2025 to Jul 2, 2025
- Accounts · 673 to 696Dec 6, 2024 to Jan 31, 2025
- HNW clients · 76 to 87Dec 6, 2024 to Jan 31, 2025
- Individual clients · 32 to 43Dec 6, 2024 to Jan 31, 2025
- Discretionary RAUM · $169M to $204MDec 6, 2024 to Jan 31, 2025
- HNW RAUM · $181M to $220MDec 6, 2024 to Jan 31, 2025
- Individual RAUM · $42.0M to $38.4MDec 6, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $53.9M to $54.4MDec 6, 2024 to Jan 31, 2025
- RAUM · $223M to $259MDec 6, 2024 to Jan 31, 2025
- Accounts · 636 to 673Feb 4, 2023 to Feb 21, 2024
- HNW clients · 64 to 76Feb 4, 2023 to Feb 21, 2024
- Individual clients · 40 to 32Feb 4, 2023 to Feb 21, 2024
- Assets in custody · $22.5M to $19.1MFeb 4, 2023 to Feb 21, 2024
- Custody of client assets · true to falseFeb 4, 2023 to Feb 21, 2024
- Discretionary RAUM · $144M to $169MFeb 4, 2023 to Feb 21, 2024
- HNW RAUM · $146M to $181MFeb 4, 2023 to Feb 21, 2024
- Individual RAUM · $48.8M to $42.0MFeb 4, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $51.1M to $53.9MFeb 4, 2023 to Feb 21, 2024
- RAUM · $195M to $223MFeb 4, 2023 to Feb 21, 2024
- Accounts · 620 to 636Jan 22, 2022 to Feb 1, 2023
- HNW clients · 68 to 64Jan 22, 2022 to Feb 1, 2023
- Individual clients · 37 to 40Jan 22, 2022 to Feb 1, 2023
- Assets in custody · $27.0M to $22.5MJan 22, 2022 to Feb 1, 2023
- Discretionary RAUM · $154M to $144MJan 22, 2022 to Feb 1, 2023
- HNW RAUM · $158M to $146MJan 22, 2022 to Feb 1, 2023
- Individual RAUM · $55.6M to $48.8MJan 22, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $59.5M to $51.1MJan 22, 2022 to Feb 1, 2023
- RAUM · $214M to $195MJan 22, 2022 to Feb 1, 2023
- Accounts · 591 to 620Dec 8, 2021 to Jan 21, 2022
- HNW clients · 67 to 68Dec 8, 2021 to Jan 21, 2022
- Individual clients · 33 to 37Dec 8, 2021 to Jan 21, 2022
Signals
2 dated events
- Briggs Wealth Management, Inc. reported RAUM $362.0M, up 40% from $258.7M (2025-07-02 to 2026-01-31)Jan 31, 2026 · RAUM change · derived
- Briggs Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 21, 2014 · Succession (Item 4) · 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
- ben@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- austin@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- katie@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- laurie@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ryan@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- erin@briggswealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-657-4878reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-633-8988reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- BRIGGSWEALTHMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-633-8988reportedpublic record, Form ADV, Feb 11, 2026
- Contact form
- briggswealthmgmt.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- briggswealthmgmt.com/meet-our-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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026