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
H••••••• C••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Feb 13, 2012 · 4 filings
SEC status approved since May 15, 2025
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$143M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$147M as of Mar 6, 2026
Feb 13, 2012$51.6M then
HNW client RAUM$117M as of Mar 6, 2026
Apr 15, 2025$89.5M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Apr 15, 20253 then
Employees (5.A)3 as of Mar 6, 2026
Apr 15, 20253 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- $49.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$117M80%
- Individuals$26.2M18%
- Charitable organizations$3.9M2.7%
- Individual clients
- 78reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 137reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| P••• B•••• S••••• | Woodbridge, Ct | Jan 6, 2004 | 32 y | 1 |
| R••••• R••••• M•••••Certified Financial Planner | New Haven, Ct | Oct 25, 2017 | 33 y | 1 |
| C••••••••• T••• A•••• | Redding, Ct | May 9, 2018 | 27 y | 3 |
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
- L•••• A•• S•••• to L••••• S••••••• L••May 24, 2013 · Other
Joined, latest
- R••••• R••••• M••••• from P•• A•••• M•••••••••Oct 25, 2017 · Other
- L•••• A•• S•••• from M•• I•••••••• S•••••••• L••Nov 2, 2012 · Other
- C••••••••• T••• A•••• from B••••••••• C•••••• I•••Aug 28, 2008 · Other
- P••• B•••• S••••• from B••••••••• C•••••• I•••Jan 6, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• P•••• B•••• · President, Chief Investment Officer, Chief Compliance Officer, Managing Membercontrolsince 06/2003 · 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 |
|---|---|---|---|---|---|
| Woodbridge, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 6, 2026accounts (Item 5.F.2.f) moved from 645.0 to 137.0 (-79.0%) between the annual amendments of 2025-04-15 and 2026-03-06; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 645 to 137Apr 15, 2025 to Mar 6, 2026
- HNW clients · 55 to 68Apr 15, 2025 to Mar 6, 2026
- Individual clients · 83 to 78Apr 15, 2025 to Mar 6, 2026
- Discretionary RAUM · $129M to $147MApr 15, 2025 to Mar 6, 2026
- HNW RAUM · $89.5M to $117MApr 15, 2025 to Mar 6, 2026
- Individual RAUM · $35.0M to $26.2MApr 15, 2025 to Mar 6, 2026
- RAUM · $129M to $147MApr 15, 2025 to Mar 6, 2026
- Accounts · 268 to 645Mar 13, 2012 to Apr 15, 2025
- Advisory employees · unset to 3.0Mar 13, 2012 to Apr 15, 2025
- Advisory activities · 4 to 6Mar 13, 2012 to Apr 15, 2025
- HNW clients · unset to 55.0Mar 13, 2012 to Apr 15, 2025
- Individual clients · unset to 83.0Mar 13, 2012 to Apr 15, 2025
- Employees · unset to 3.0Mar 13, 2012 to Apr 15, 2025
- Insurance-licensed employees · 1 to 0Mar 13, 2012 to Apr 15, 2025
- Financial planning clients · 0 to 51-100Mar 13, 2012 to Apr 15, 2025
- State-registered IARs · unset to 3.0Mar 13, 2012 to Apr 15, 2025
- Other offices · unset to 0.0Mar 13, 2012 to Apr 15, 2025
- Discretionary RAUM · $50.6M to $129MMar 13, 2012 to Apr 15, 2025
- HNW RAUM · unset to 89513049.0Mar 13, 2012 to Apr 15, 2025
- Individual RAUM · unset to 35007218.0Mar 13, 2012 to Apr 15, 2025
- Non-discretionary RAUM · $970,276 to $0Mar 13, 2012 to Apr 15, 2025
- RAUM · $51.6M to $129MMar 13, 2012 to Apr 15, 2025
Signals
No event on the tape.
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
- 203-389-3553reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-389-3553reportedpublic record, Form ADV, Mar 6, 2026
- Team page
- i•••••••••.comreportedpublished 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
- $49.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026