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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• I••••••••• C•••••• L••
Latest filing Mar 17, 2026
First filing on the tape Nov 15, 2011 · 9 filings
SEC status approved since Apr 21, 2022
RAUM
$129M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.4M
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$129M as of Mar 17, 2026
Jan 30, 2012$54.0M then
HNW client RAUM$122M as of Mar 17, 2026
Mar 27, 2023$100M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Jan 30, 20120 then
Employees (5.A)3 as of Mar 17, 2026
Mar 27, 20232 then
Private funds: no history
RAUM +12% over the last fiscal year+7.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $853,321derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M95%
- Individuals$6.9M5.3%
- Individual clients
- 20reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| N••• S•••• K•••••Chartered Financial Analyst | Ridgefield, Ct | May 16, 2002 | 26 y | 0 |
| E••• N••• K•••••Certified Financial Planner | Ridgefield, Ct | Apr 26, 2018 | 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
- K•••••• L•••••• C••• · Membercontrolsince 01/2000 · owns 25% to 50%
- K•••••• N•••• S•••• · Member, Manager, Ccocontrolsince 01/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Ridgefield, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 139 to 151Mar 24, 2025 to Mar 17, 2026
- HNW clients · 37 to 38Mar 24, 2025 to Mar 17, 2026
- Individual clients · 17 to 20Mar 24, 2025 to Mar 17, 2026
- Financial planning clients · 1-10 to 11-25Mar 24, 2025 to Mar 17, 2026
- Discretionary RAUM · $114M to $128MMar 24, 2025 to Mar 17, 2026
- HNW RAUM · $109M to $122MMar 24, 2025 to Mar 17, 2026
- Individual RAUM · $6.2M to $6.9MMar 24, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $1.3M to $1.3MMar 24, 2025 to Mar 17, 2026
- RAUM · $115M to $129MMar 24, 2025 to Mar 17, 2026
- Accounts · 124 to 139Mar 21, 2024 to Mar 24, 2025
- Advisory activities · 1 to 2Mar 21, 2024 to Mar 24, 2025
- Charity clients · 1.0 to unsetMar 21, 2024 to Mar 24, 2025
- HNW clients · 39 to 37Mar 21, 2024 to Mar 24, 2025
- Individual clients · 11 to 17Mar 21, 2024 to Mar 24, 2025
- Financial planning clients · unset to 1-10Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $105M to $114MMar 21, 2024 to Mar 24, 2025
- HNW RAUM · $103M to $109MMar 21, 2024 to Mar 24, 2025
- Individual RAUM · $3.8M to $6.2MMar 21, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $2.3M to $1.3MMar 21, 2024 to Mar 24, 2025
- RAUM · $108M to $115MMar 21, 2024 to Mar 24, 2025
- Accounts · 108 to 124Apr 6, 2023 to Mar 21, 2024
- HNW clients · 38 to 39Apr 6, 2023 to Mar 21, 2024
- Individual clients · 10 to 11Apr 6, 2023 to Mar 21, 2024
- Employees · 2 to 3Apr 6, 2023 to Mar 21, 2024
- Discretionary RAUM · $102M to $105MApr 6, 2023 to Mar 21, 2024
- HNW RAUM · $100M to $103MApr 6, 2023 to Mar 21, 2024
- Individual RAUM · $3.5M to $3.8MApr 6, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $2.5M to $2.3MApr 6, 2023 to Mar 21, 2024
- RAUM · $105M to $108MApr 6, 2023 to Mar 21, 2024
- Accounts · 119 to 108Mar 22, 2022 to Mar 27, 2023
- HNW clients · 37 to 38Mar 22, 2022 to Mar 27, 2023
- Individual clients · 12 to 10Mar 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $119M to $102MMar 22, 2022 to Mar 27, 2023
- HNW RAUM · $116M to $100MMar 22, 2022 to Mar 27, 2023
- Individual RAUM · $5.1M to $3.5MMar 22, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $3.0M to $2.5MMar 22, 2022 to Mar 27, 2023
- RAUM · $122M to $105MMar 22, 2022 to Mar 27, 2023
- Accounts · 76 to 119Feb 3, 2012 to Mar 22, 2022
- Advisory employees · unset to 2.0Feb 3, 2012 to Mar 22, 2022
- Advisory activities · 2 to 1Feb 3, 2012 to Mar 22, 2022
Signals
1 dated events
- C••••••••• I••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2022 · 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 email
- info@colchesteric.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- nsk@colchesteric.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sc@colchesteric.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- enk@colchesteric.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-438-0260reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-438-0046reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-438-5584reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••••IC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203.438.0046reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- colchesteric.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- colchesteric.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $64.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026