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.

Former SEC-registered adviser

A•••• C•••••• M••••••••• L••

Former SEC-registered adviserWest Hartford, ConnecticutCRD 132957SEC 801-64865IAPD
Latest filing Dec 6, 2017
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$938M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$683M gross assets
History
14 filings and snapshots on the tape
RAUM$938M as of Mar 30, 2017
Mar 29, 2012$691M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)10 as of Mar 30, 2017
Mar 28, 201310 then
Private funds2 as of Mar 30, 2017
Mar 29, 20122 then
RAUM +1.1% over the last fiscal year+2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 6, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$235MderivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$938M, 4 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$938M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• P••••••• D••••••••• F•••• L••Hedge Fund$529M19Mar 29, 2012
      A•••• P••••••• D••••••••• F••• •••••••• L••••••Hedge Fund$154M12Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• M•••• D•••• · Presidentcontrol
        since 09/2004 · owns less than 5%
      • G••••• M••••••• K••••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • L••••••• J•••• C•••• · Director And Chairperson Of The Boardcontrol
        since 03/2008 · owns less than 5%
      • M••••••• J••• P• · Treasurercontrol
        since 02/2017 · owns less than 5%
      • M•••••••• A•••• F•••••• · Directorcontrol
        since 05/2016 · owns less than 5%
      • T•••••• B••••• B•••• · Directorcontrol
        since 09/2014 · owns less than 5%
      Entity owners
      • A•••• F•••••••• H•••••••• L•• · Sole Member
        direct · owns 75% or more
      • A•••• I••• · Member
        indirect · owns 75% or more of A•••• F•••••••• H•••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list A•••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Mar 30, 2017 to Oct 18, 2017
      • Assets in custody · $928M to $938M
        May 19, 2016 to Mar 30, 2017
      • Discretionary RAUM · $739M to $747M
        May 19, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $189M to $191M
        May 19, 2016 to Mar 30, 2017
      • RAUM · $928M to $938M
        May 19, 2016 to Mar 30, 2017
      • Assets in custody · $916M to $928M
        Mar 26, 2015 to Mar 24, 2016
      • Discretionary RAUM · $732M to $739M
        Mar 26, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $184M to $189M
        Mar 26, 2015 to Mar 24, 2016
      • RAUM · $916M to $928M
        Mar 26, 2015 to Mar 24, 2016
      • Assets in custody · $868M to $916M
        Oct 6, 2014 to Mar 26, 2015
      • Discretionary RAUM · $696M to $732M
        Oct 6, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $172M to $184M
        Oct 6, 2014 to Mar 26, 2015
      • RAUM · $868M to $916M
        Oct 6, 2014 to Mar 26, 2015
      • Assets in custody · $757M to $868M
        Dec 4, 2013 to Mar 26, 2014
      • Discretionary RAUM · $630M to $696M
        Dec 4, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $127M to $172M
        Dec 4, 2013 to Mar 26, 2014
      • RAUM · $757M to $868M
        Dec 4, 2013 to Mar 26, 2014
      • Assets in custody · $712M to $757M
        Nov 6, 2012 to Mar 28, 2013
      • Discretionary RAUM · $591M to $630M
        Nov 6, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $121M to $127M
        Nov 6, 2012 to Mar 28, 2013
      • RAUM · $712M to $757M
        Nov 6, 2012 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Jul 16, 2012 to Nov 6, 2012
      • Employees · unset to 10.0
        Jul 16, 2012 to Nov 6, 2012
      • State-registered IARs · unset to 0.0
        Jul 16, 2012 to Nov 6, 2012
      • Accounts · 3 to 4
        Mar 29, 2012 to Jul 16, 2012
      • Advisory activities · 2 to 3
        Mar 29, 2012 to Jul 16, 2012
      • Assets in custody · $691M to $712M
        Mar 29, 2012 to Jul 16, 2012
      • Discretionary RAUM · $573M to $591M
        Mar 29, 2012 to Jul 16, 2012
      • Non-discretionary RAUM · $118M to $121M
        Mar 29, 2012 to Jul 16, 2012
      • RAUM · $691M to $712M
        Mar 29, 2012 to Jul 16, 2012
      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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026