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.

Former SEC-registered adviser

People'S Securities, Inc.

Former SEC-registered adviserBridgeport, ConnecticutCRD 13704SEC 801-63122IAPD
Latest filing Sep 3, 2019
First filing on the tape Mar 21, 2012 · 36 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
550
45 advisory (5.B.1)
Offices
26
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2017
Mar 21, 2012$693M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)91 as of Mar 29, 2019
Mar 14, 201372 then
Employees (5.A)550 as of Mar 29, 2019
Mar 14, 2013700 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 110 to 91offices 0 to 26
Practice profile
derived from the filing of Sep 3, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
3.4derived27 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
2,661reported
HNW clients
12reported
Pension plan clients
10reported
Charitable clients
10reported
Accounts
n/areported
Financial planning clients
251-500reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dennis Patrick Beirne · First Vice President, Coo/Ccocontrol
      since 02/2006 · owns less than 5%
    • Kristy Lynn Berner · Directorcontrol
      since 10/2018 · owns less than 5%
    • Brian Edward Delman · Chief Compliance Officer, Investment Advisorycontrol
      since 11/2016 · owns less than 5%
    • Michael Eugene Harkins · President/Ceocontrol
      since 07/2004 · owns less than 5%
    • Jeffrey Frank Hunter · Principal Operations Officercontrol
      since 10/2018 · owns less than 5%
    • Jane-Ellen Porter-Stefanowicz · Corporate Secretarycontrol
      since 12/2016 · owns less than 5%
    • Daniel G Roberts · Directorcontrol
      since 07/2018 · owns less than 5%
    • Kirk William Walters · Sevp Corporate Dev & Strategic Planningcontrol
      since 07/2019 · owns less than 5%
    • Bruce Timothy Mcelwee · Treasurer And Principal Financial Officer
      since 07/2004 · owns less than 5%
    Entity owners
    • People'S United Bank · Parent
      direct · owns 75% or more · public reporting company
    • People'S United Financial Inc. · Parent
      indirect · owns 75% or more of People'S United Bank · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Fairfield, CT2 employees
    • Cos Cob, CT2 employees
    • Trumbull, CT2 employees
    • Milford, CT1 employees
    • Westport, CT1 employees
    • Glastonbury, CT1 employees
    • Fairfield, CT1 employees
    • Hamden, CT1 employees
    • Monroe, CT1 employees
    • Stamford, CT1 employees
    • Brookfield, CT1 employees
    • Branford, CT1 employees
    • Norwich, CT1 employees
    • Wethersfield, CT1 employees
    • West Hartford, CT1 employees
    • Scarsdale, NY1 employees
    • Holyoke, MA1 employees
    • Bangor, ME1 employees
    • Montpelier, VT1 employees
    • Springfield, VT1 employees
    • Peterborough, NH1 employees
    • Portsmouth, NH1 employees
    • West Haverstraw, NY1 employees
    • Wellesley, MA1 employees
    • Danvers, MA1 employees
    What changed
    consecutive filings, newest first
    • BD registered reps · 441 to 387
      Feb 26, 2019 to Mar 29, 2019
    • Charity clients · 16 to 10
      Feb 26, 2019 to Mar 29, 2019
    • Corporate clients · 15 to 9
      Feb 26, 2019 to Mar 29, 2019
    • HNW clients · 29 to 12
      Feb 26, 2019 to Mar 29, 2019
    • Individual clients · 2,641 to 2,661
      Feb 26, 2019 to Mar 29, 2019
    • Pension plan clients · 6 to 10
      Feb 26, 2019 to Mar 29, 2019
    • Employees · 675 to 550
      Feb 26, 2019 to Mar 29, 2019
    • Insurance-licensed employees · 110 to 46
      Feb 26, 2019 to Mar 29, 2019
    • Financial planning clients · 101-250 to 251-500
      Feb 26, 2019 to Mar 29, 2019
    • State-registered IARs · 110 to 91
      Feb 26, 2019 to Mar 29, 2019
    • Other offices · 25 to 26
      Feb 26, 2019 to Mar 29, 2019
    • Other offices · 0 to 25
      Jun 19, 2018 to Jul 25, 2018
    • Accounts · 7255.0 to unset
      Sep 29, 2017 to Mar 30, 2018
    • Advisory employees · 85 to 45
      Sep 29, 2017 to Mar 30, 2018
    • Advisory activities · 5 to 4
      Sep 29, 2017 to Mar 30, 2018
    • BD registered reps · 522 to 441
      Sep 29, 2017 to Mar 30, 2018
    • Charity clients · unset to 16.0
      Sep 29, 2017 to Mar 30, 2018
    • Corporate clients · unset to 15.0
      Sep 29, 2017 to Mar 30, 2018
    • HNW clients · unset to 29.0
      Sep 29, 2017 to Mar 30, 2018
    • Individual clients · unset to 2641.0
      Sep 29, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 6.0
      Sep 29, 2017 to Mar 30, 2018
    • Assets in custody · $40.0M to $0
      Sep 29, 2017 to Mar 30, 2018
    • Custody of client assets · true to false
      Sep 29, 2017 to Mar 30, 2018
    • Employees · 702 to 675
      Sep 29, 2017 to Mar 30, 2018
    • Insurance-licensed employees · 0 to 110
      Sep 29, 2017 to Mar 30, 2018
    • Financial planning clients · More than 500 to 101-250
      Sep 29, 2017 to Mar 30, 2018
    • State-registered IARs · 118 to 110
      Sep 29, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Discretionary RAUM · 2756707191.0 to unset
      Sep 29, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · 53355211.0 to unset
      Sep 29, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Sep 29, 2017 to Mar 30, 2018
    • RAUM · 2810062402.0 to unset
      Sep 29, 2017 to Mar 30, 2018
    • Related adviser · false to true
      Sep 29, 2017 to Mar 30, 2018
    • Related insurance company · false to true
      Apr 3, 2017 to Sep 29, 2017
    • Accounts · 7,215 to 7,255
      Mar 7, 2017 to Mar 31, 2017
    • BD registered reps · 530 to 522
      Mar 7, 2017 to Mar 31, 2017
    • Assets in custody · $38.0M to $40.0M
      Mar 7, 2017 to Mar 31, 2017
    • Employees · 710 to 702
      Mar 7, 2017 to Mar 31, 2017
    Signals
    7 dated events
    • Kirk William Walters (Sevp Corporate Dev & Strategic Planning) appeared on Schedule A of People'S Securities, Inc.
      Aug 28, 2019 · Control person joined · fact
    • Galan George Daukas (Director) no longer on Schedule A of People'S Securities, Inc. (listed 2019-05-29, absent 2019-08-28)
      Aug 28, 2019 · Control person left · inference
    • John P Barnes (Director) no longer on Schedule A of People'S Securities, Inc. (listed 2019-01-16, absent 2019-02-26)
      Feb 26, 2019 · Control person left · inference
    • Daniel G Roberts (Director) appeared on Schedule A of People'S Securities, Inc.
      Jan 16, 2019 · Control person joined · fact
    • Kristy Lynn Berner (Director) appeared on Schedule A of People'S Securities, Inc.
      Jan 16, 2019 · Control person joined · fact
    • People'S Securities, Inc. reported 25 offices beyond its principal office, up from 0 (2018-06-19 to 2018-07-25)
      Jul 25, 2018 · Office count change · derived
    • People'S Securities, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 14, 2016 · Succession (Item 4) · fact
    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