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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SEC-registered adviser
A••••••• F•••••••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jan 30, 2012 · 17 filings
SEC status approved since Jun 21, 2022
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$156M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$178M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$178M as of Feb 17, 2026
Jan 30, 2012$36.3M then
HNW client RAUM$136M as of Feb 17, 2026
Feb 23, 2023$68.8M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Jan 30, 20120 then
Employees (5.A)1 as of Feb 17, 2026
Feb 23, 20231 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- $178MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $370,612derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M76%
- Individuals$20.1M11%
- Pension and profit-sharing plans$17.9M10%
- Corporations and businesses$3.9M2.2%
- Individual clients
- 54reported
- HNW clients
- 33reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 481reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• T•••••• B•••• | Fairfield, Ct | Jul 21, 2005 | 41 y | 1 |
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
- S•••• G••••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 30, 2021 · Other
Joined, latest
- P•••••• T•••••• B•••• from U••• I••••••••• S••••••• C••••••Jul 21, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P••••••• T•••••• · Managing Member; Chief Compliance Officercontrolsince 07/2005 · owns 75% or more
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
- Accounts · 451 to 481Sep 15, 2025 to Feb 17, 2026
- Corporate clients · 5 to 6Sep 15, 2025 to Feb 17, 2026
- HNW clients · 30 to 33Sep 15, 2025 to Feb 17, 2026
- Individual clients · 56 to 54Sep 15, 2025 to Feb 17, 2026
- Pension plan clients · 5 to 6Sep 15, 2025 to Feb 17, 2026
- Discretionary RAUM · $153M to $178MSep 15, 2025 to Feb 17, 2026
- HNW RAUM · $110M to $136MSep 15, 2025 to Feb 17, 2026
- Individual RAUM · $23.3M to $20.1MSep 15, 2025 to Feb 17, 2026
- Pension RAUM · $16.4M to $17.9MSep 15, 2025 to Feb 17, 2026
- RAUM · $153M to $178MSep 15, 2025 to Feb 17, 2026
- Accounts · 453 to 451Mar 7, 2024 to Feb 12, 2025
- Charity clients · unset to 0.0Mar 7, 2024 to Feb 12, 2025
- Corporate clients · 3 to 5Mar 7, 2024 to Feb 12, 2025
- HNW clients · 26 to 30Mar 7, 2024 to Feb 12, 2025
- Individual clients · 58 to 56Mar 7, 2024 to Feb 12, 2025
- Pension plan clients · 4 to 5Mar 7, 2024 to Feb 12, 2025
- Pooled vehicle clients · unset to 0.0Mar 7, 2024 to Feb 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 7, 2024 to Feb 12, 2025
- Discretionary RAUM · $126M to $153MMar 7, 2024 to Feb 12, 2025
- HNW RAUM · $89.7M to $110MMar 7, 2024 to Feb 12, 2025
- Individual RAUM · $21.5M to $23.3MMar 7, 2024 to Feb 12, 2025
- Pension RAUM · $12.4M to $16.4MMar 7, 2024 to Feb 12, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 7, 2024 to Feb 12, 2025
- RAUM · $126M to $153MMar 7, 2024 to Feb 12, 2025
- Accounts · 370 to 453Dec 26, 2023 to Mar 7, 2024
- Corporate clients · 5 to 3Dec 26, 2023 to Mar 7, 2024
- Individual clients · 60 to 58Dec 26, 2023 to Mar 7, 2024
- Pension plan clients · 7 to 4Dec 26, 2023 to Mar 7, 2024
- Discretionary RAUM · $101M to $126MDec 26, 2023 to Mar 7, 2024
- HNW RAUM · $68.8M to $89.7MDec 26, 2023 to Mar 7, 2024
- Individual RAUM · $21.1M to $21.5MDec 26, 2023 to Mar 7, 2024
- Pension RAUM · $8.8M to $12.4MDec 26, 2023 to Mar 7, 2024
- RAUM · $101M to $126MDec 26, 2023 to Mar 7, 2024
- Accounts · 343 to 370Jul 8, 2022 to Feb 23, 2023
- Corporate clients · 4 to 5Jul 8, 2022 to Feb 23, 2023
- Individual clients · 59 to 60Jul 8, 2022 to Feb 23, 2023
- Pension plan clients · 6 to 7Jul 8, 2022 to Feb 23, 2023
- Discretionary RAUM · $123M to $101MJul 8, 2022 to Feb 23, 2023
- HNW RAUM · $90.0M to $68.8MJul 8, 2022 to Feb 23, 2023
- Individual RAUM · $18.0M to $21.1MJul 8, 2022 to Feb 23, 2023
Signals
1 dated events
- A••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 18, 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 phone
- 203-226-5733reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/aspetuck-financialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-226-5733reportedpublic record, Form ADV, Feb 17, 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
- $178Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026