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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Former SEC-registered adviser
V•••••• C•••••• M••••••••• L••
Latest filing Jun 28, 2021
First filing on the tape Mar 22, 2012 · 20 filings
RAUM
$48.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$48.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$48.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$48.0M as of Mar 4, 2021
Mar 22, 2012$59.0M then
HNW client RAUM$5.0M as of Mar 4, 2021
Mar 2, 2018$16.9M then
State-registered IARs (5.B.3)2 as of Mar 4, 2021
Mar 22, 20120 then
Employees (5.A)3 as of Mar 4, 2021
Mar 18, 20134 then
Private funds: no history
RAUM -30% over the last fiscal year-11% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jun 28, 2021; every figure names its basis
- RAUM per advisor
- $48.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $155,663derivedHNW RAUM over HNW clients
- Average account
- $922,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -50%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$43.0M90%
- High-net-worth individuals$5.0M10%
- Individual clients
- 20reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M••••• F•••••••Certified Financial Planner, Chartered Financial Analyst | Fairfield, Ct | Feb 9, 2005 | 23 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
- M•••••• M•••••• Z••••• to B••• O• A•••••• I••••••••• S•••••••• I•••Nov 8, 2006 · Other
Joined, latest
- M•••••• M•••••• Z••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Dec 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• J•••• M••••• · Membercontrolsince 03/2004 · owns 25% to 50%
- R••••• J•••• P••••• · Ceocontrolsince 03/2004 · owns 25% to 50%
- C••••••••• J•••••• J••••• · Chief Compliance Officersince 03/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Jun 11, 2021 to Jun 28, 2021
- Employees · 3 to 4Jun 11, 2021 to Jun 28, 2021
- State-registered IARs · 2 to 4Jun 11, 2021 to Jun 28, 2021
- Wrap assets (manager) · 1001496.0 to unsetJun 11, 2021 to Jun 28, 2021
- Wrap assets (sponsor) · 0.0 to unsetJun 11, 2021 to Jun 28, 2021
- Accounts · 106 to 52Jun 27, 2020 to Mar 4, 2021
- Advisory activities · 3 to 1Jun 27, 2020 to Mar 4, 2021
- HNW clients · 65 to 32Jun 27, 2020 to Mar 4, 2021
- Individual clients · 40 to 20Jun 27, 2020 to Mar 4, 2021
- Discretionary RAUM · $68.4M to $48.0MJun 27, 2020 to Mar 4, 2021
- HNW RAUM · $6.0M to $5.0MJun 27, 2020 to Mar 4, 2021
- Individual RAUM · $40.7M to $43.0MJun 27, 2020 to Mar 4, 2021
- RAUM · $68.4M to $48.0MJun 27, 2020 to Mar 4, 2021
- Accounts · 107 to 106Mar 8, 2019 to Mar 17, 2020
- HNW clients · 43 to 65Mar 8, 2019 to Mar 17, 2020
- Other offices · 1 to 0Mar 8, 2019 to Mar 17, 2020
- Discretionary RAUM · $58.1M to $68.4MMar 8, 2019 to Mar 17, 2020
- HNW RAUM · $6.2M to $6.0MMar 8, 2019 to Mar 17, 2020
- Individual RAUM · $30.1M to $40.7MMar 8, 2019 to Mar 17, 2020
- RAUM · $58.1M to $68.4MMar 8, 2019 to Mar 17, 2020
- Wrap assets (manager) · unset to 1001496.0Mar 8, 2019 to Mar 17, 2020
- Wrap assets (sponsor) · unset to 0.0Mar 8, 2019 to Mar 17, 2020
- Accounts · 103 to 107Nov 13, 2018 to Mar 8, 2019
- HNW clients · 38 to 43Nov 13, 2018 to Mar 8, 2019
- Individual clients · 62 to 40Nov 13, 2018 to Mar 8, 2019
- Discretionary RAUM · $68.2M to $58.1MNov 13, 2018 to Mar 8, 2019
- HNW RAUM · $36.0M to $6.2MNov 13, 2018 to Mar 8, 2019
- Individual RAUM · $6.3M to $30.1MNov 13, 2018 to Mar 8, 2019
- RAUM · $68.2M to $58.1MNov 13, 2018 to Mar 8, 2019
- HNW clients · 41 to 38Mar 2, 2018 to Mar 3, 2018
- Individual clients · 61 to 62Mar 2, 2018 to Mar 3, 2018
- HNW RAUM · $16.9M to $36.0MMar 2, 2018 to Mar 3, 2018
- Individual RAUM · $25.4M to $6.3MMar 2, 2018 to Mar 3, 2018
- Accounts · 125 to 103Feb 8, 2017 to Mar 2, 2018
- HNW clients · unset to 41.0Feb 8, 2017 to Mar 2, 2018
- Individual clients · unset to 61.0Feb 8, 2017 to Mar 2, 2018
- Other offices · unset to 1.0Feb 8, 2017 to Mar 2, 2018
- Discretionary RAUM · $64.0M to $68.2MFeb 8, 2017 to Mar 2, 2018
- HNW RAUM · unset to 16929861.0Feb 8, 2017 to Mar 2, 2018
- Individual RAUM · unset to 25394791.0Feb 8, 2017 to Mar 2, 2018
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
- Website
- SIGNALBRIDGEWEALTH.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $48.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026