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

3d Asset Management, Inc.

Former SEC-registered adviserHartford, ConnecticutCRD 139595SEC 801-68413IAPD
Latest filing Aug 28, 2020
First filing on the tape Mar 29, 2012 · 26 filings
RAUM
$603M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$390M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$603M as of Mar 30, 2020
Mar 29, 2012$331M then
HNW client RAUM$139M as of Mar 30, 2020
Mar 28, 2018$163M then
State-registered IARs (5.B.3)11 as of Mar 30, 2020
Mar 22, 20136 then
Employees (5.A)15 as of Mar 30, 2020
Mar 22, 201310 then
Private funds: no history
RAUM +13% over the last fiscal year+7.2% a year over threeIARs 9 to 11offices 3 to 5
Practice profile
derived from the filing of Aug 28, 2020; every figure names its basis
RAUM per advisor
$54.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$328,088derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
1.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+22%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.0%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$96.7M, 287 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$251M42%
  • State and municipal entities$177M29%
  • High-net-worth individuals$139M23%
  • Pension and profit-sharing plans$23.6M3.9%
  • Corporations and businesses$7.8M1.3%
  • Charitable organizations$5.2M0.9%
Individual clients
857reported
HNW clients
70reported
Pension plan clients
16reported
Charitable clients
5reported
Accounts
1,838reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $18.0M managedreported
Custody of client assets
$96.7M for 287 clientsreported
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
    • Nmn Wayne Connors · Director & Shareholdercontrol
      since 05/2013 · owns 10% to 25%
    • Michael Christopher Frankenhoff · Director & Shareholdercontrol
      since 04/2007 · owns 25% to 50%
    • Marshal Benjamin Lavine · Chief Investment Officer & Shareholdercontrol
      since 09/2015 · owns less than 5%
    • Arthur John O'Connor · President, Director & Shareholdercontrol
      since 11/2005 · owns 25% to 50%
    • Mary Sheryl O'Connor · Shareholdercontrol
      since 03/2006 · owns 25% to 50%
    • Thomas Andrew Lucich · Chief Compliance Officer
      since 04/2016 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Northborough, MA5 employees
    • Scottsdale, AZ1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,509 to 1,838
      Mar 29, 2019 to Mar 30, 2020
    • Advisory employees · 10 to 11
      Mar 29, 2019 to Mar 30, 2020
    • HNW clients · 80 to 70
      Mar 29, 2019 to Mar 30, 2020
    • Individual clients · 886 to 857
      Mar 29, 2019 to Mar 30, 2020
    • Pension plan clients · 10 to 16
      Mar 29, 2019 to Mar 30, 2020
    • Assets in custody · $98.0M to $96.7M
      Mar 29, 2019 to Mar 30, 2020
    • Employees · 16 to 15
      Mar 29, 2019 to Mar 30, 2020
    • State-registered IARs · 9 to 11
      Mar 29, 2019 to Mar 30, 2020
    • Other offices · 3 to 5
      Mar 29, 2019 to Mar 30, 2020
    • Discretionary RAUM · $533M to $603M
      Mar 29, 2019 to Mar 30, 2020
    • HNW RAUM · $132M to $139M
      Mar 29, 2019 to Mar 30, 2020
    • Individual RAUM · $228M to $251M
      Mar 29, 2019 to Mar 30, 2020
    • Pension RAUM · $16.9M to $23.6M
      Mar 29, 2019 to Mar 30, 2020
    • RAUM · $533M to $603M
      Mar 29, 2019 to Mar 30, 2020
    • Wrap assets (manager) · $18.1M to $18.0M
      Mar 29, 2019 to Mar 30, 2020
    • Accounts · 1,332 to 1,509
      Dec 21, 2018 to Mar 29, 2019
    • Advisory employees · 8 to 10
      Dec 21, 2018 to Mar 29, 2019
    • Advisory activities · 4 to 5
      Dec 21, 2018 to Mar 29, 2019
    • Charity clients · 3 to 5
      Dec 21, 2018 to Mar 29, 2019
    • HNW clients · 100 to 80
      Dec 21, 2018 to Mar 29, 2019
    • Individual clients · 791 to 886
      Dec 21, 2018 to Mar 29, 2019
    • Pension plan clients · 27 to 10
      Dec 21, 2018 to Mar 29, 2019
    • Assets in custody · $86.2M to $98.0M
      Dec 21, 2018 to Mar 29, 2019
    • Employees · 15 to 16
      Dec 21, 2018 to Mar 29, 2019
    • Financial planning clients · unset to 0
      Dec 21, 2018 to Mar 29, 2019
    • State-registered IARs · 8 to 9
      Dec 21, 2018 to Mar 29, 2019
    • Discretionary RAUM · $577M to $533M
      Dec 21, 2018 to Mar 29, 2019
    • HNW RAUM · $163M to $132M
      Dec 21, 2018 to Mar 29, 2019
    • Individual RAUM · $214M to $228M
      Dec 21, 2018 to Mar 29, 2019
    • Pension RAUM · $20.6M to $16.9M
      Dec 21, 2018 to Mar 29, 2019
    • RAUM · $577M to $533M
      Dec 21, 2018 to Mar 29, 2019
    • Wrap assets (manager) · $25.2M to $18.1M
      Dec 21, 2018 to Mar 29, 2019
    • Accounts · 1,313 to 1,332
      Dec 20, 2017 to Mar 28, 2018
    • Advisory employees · 9 to 8
      Dec 20, 2017 to Mar 28, 2018
    • Charity clients · unset to 3.0
      Dec 20, 2017 to Mar 28, 2018
    • Corporate clients · unset to 9.0
      Dec 20, 2017 to Mar 28, 2018
    • HNW clients · unset to 100.0
      Dec 20, 2017 to Mar 28, 2018
    • Individual clients · unset to 791.0
      Dec 20, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 27.0
      Dec 20, 2017 to Mar 28, 2018
    • Assets in custody · $83.1M to $86.2M
      Dec 20, 2017 to Mar 28, 2018
    Signals
    1 dated events
    • Harold Raymond Noeker (Chief Financial Officer) no longer on Schedule A of 3D Asset Management, Inc. (listed 2018-12-21, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    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