DFX Intelligence
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SEC-registered adviser
T••••• F•••••••• M•••••••••
Legal name C•• F•••••••• C••••••••• S•••••••• I•••
Latest filing Jan 19, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since Apr 23, 2018
RAUM
$315M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
94%
$296M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$315M as of Jan 19, 2026
Apr 2, 2012$74.6M then
HNW client RAUM$245M as of Jan 19, 2026
Mar 26, 2019$85.5M then
State-registered IARs (5.B.3)1 as of Jan 19, 2026
Apr 2, 20120 then
Employees (5.A)2 as of Jan 19, 2026
Mar 26, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $531,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.8M, 3 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$245M78%
- Individuals$50.7M16%
- Corporations and businesses$10.4M3.3%
- Pension and profit-sharing plans$8.9M2.8%
- Individual clients
- 186reported
- HNW clients
- 106reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 593reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8M for 3 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| S••••• L• B•••••Certified Financial Planner | Norwich, Ct | Jan 8, 2016 | 30 y | 1 |
| A••••• D•••• S•••••Chartered Financial Analyst | Norwich, Ct | Sep 24, 2018 | 25 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
- B•••••• S•••••• L• · President, Treasurercontrolsince 01/1996 · owns 25% to 50%
- S•••••• A•••••• D•••• · Chief Compliance Officer / Vice Presidentcontrolsince 06/2020 · owns 50% to 75%
- L••••••• D•••••• G• · Shareholdersince 01/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- M•••••• A• G••••••••• C••• C••• C••insurancey
- S••••• L• B•••••• C••• C••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Norwich, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 568 to 593Dec 10, 2025 to Jan 19, 2026
- Corporate clients · 6 to 5Dec 10, 2025 to Jan 19, 2026
- HNW clients · 224 to 106Dec 10, 2025 to Jan 19, 2026
- Individual clients · 104 to 186Dec 10, 2025 to Jan 19, 2026
- Pension plan clients · 6 to 5Dec 10, 2025 to Jan 19, 2026
- Assets in custody · $1.9M to $1.8MDec 10, 2025 to Jan 19, 2026
- Discretionary RAUM · $162M to $191MDec 10, 2025 to Jan 19, 2026
- HNW RAUM · $211M to $245MDec 10, 2025 to Jan 19, 2026
- Individual RAUM · $45.3M to $50.7MDec 10, 2025 to Jan 19, 2026
- Non-discretionary RAUM · $113M to $125MDec 10, 2025 to Jan 19, 2026
- Pension RAUM · $8.7M to $8.9MDec 10, 2025 to Jan 19, 2026
- RAUM · $275M to $315MDec 10, 2025 to Jan 19, 2026
- Accounts · 553 to 568Jan 28, 2024 to Jan 17, 2025
- HNW clients · 132 to 224Jan 28, 2024 to Jan 17, 2025
- Individual clients · 158 to 104Jan 28, 2024 to Jan 17, 2025
- Pension plan clients · 5 to 6Jan 28, 2024 to Jan 17, 2025
- Assets in custody · $1.9M to $1.9MJan 28, 2024 to Jan 17, 2025
- Financial planning clients · 1-10 to 1-10Jan 28, 2024 to Jan 17, 2025
- Discretionary RAUM · $139M to $162MJan 28, 2024 to Jan 17, 2025
- HNW RAUM · $199M to $211MJan 28, 2024 to Jan 17, 2025
- Individual RAUM · $23.0M to $45.3MJan 28, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $97.8M to $113MJan 28, 2024 to Jan 17, 2025
- Pension RAUM · $5.7M to $8.7MJan 28, 2024 to Jan 17, 2025
- RAUM · $237M to $275MJan 28, 2024 to Jan 17, 2025
- Accounts · 537 to 553Jan 2, 2024 to Jan 23, 2024
- Corporate clients · 5 to 6Jan 2, 2024 to Jan 23, 2024
- HNW clients · 99 to 132Jan 2, 2024 to Jan 23, 2024
- Individual clients · 192 to 158Jan 2, 2024 to Jan 23, 2024
- Pension plan clients · 4 to 5Jan 2, 2024 to Jan 23, 2024
- Assets in custody · $1.8M to $1.9MJan 2, 2024 to Jan 23, 2024
- Discretionary RAUM · $112M to $139MJan 2, 2024 to Jan 23, 2024
- HNW RAUM · $148M to $199MJan 2, 2024 to Jan 23, 2024
- Individual RAUM · $35.4M to $23.0MJan 2, 2024 to Jan 23, 2024
- Non-discretionary RAUM · $85.9M to $97.8MJan 2, 2024 to Jan 23, 2024
- Pension RAUM · $4.3M to $5.7MJan 2, 2024 to Jan 23, 2024
- RAUM · $197M to $237MJan 2, 2024 to Jan 23, 2024
- Employees · 3 to 2Oct 19, 2023 to Jan 2, 2024
- Accounts · 479 to 537Jan 31, 2022 to Jan 20, 2023
- Corporate clients · 3 to 5Jan 31, 2022 to Jan 20, 2023
- HNW clients · 93 to 99Jan 31, 2022 to Jan 20, 2023
Signals
3 dated events
- Abbott Michael Goldblatt (Shareowner) no longer on Schedule A of T••••• F•••••••• M••••••••• (listed 2024-01-23, absent 2024-01-28)Jan 28, 2024 · Control person left · inference
- Drake Andrew Sawyer (Vice President, Secretary) appeared on Schedule A of T••••• F•••••••• M•••••••••Mar 30, 2020 · Control person joined · fact
- T••••• F•••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 23, 2018 · 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
- 860-886-5108reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- t•••••••.comreportedpublic record, Form ADV, Jan 19, 2026
- Principal office phone
- 860-886-5108reportedpublic record, Form ADV, Jan 19, 2026
- Contact form
- t•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••.comreportedpublished 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026