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
5•• S••••• A•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 27, 2012 · 37 filings
SEC status approved since Jun 25, 2007
RAUM
$524M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
60%
$312M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$524M as of May 5, 2026
Mar 27, 2012$90.3M then
HNW client RAUM$277M as of May 5, 2026
Mar 28, 2018$79.5M then
State-registered IARs (5.B.3)5 as of May 5, 2026
Mar 27, 20120 then
Employees (5.A)7 as of May 5, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 5offices 2 to 1
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $762,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $43.8M, 37 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
- High-net-worth individuals$277M53%
- Pension and profit-sharing plans$163M31%
- Corporations and businesses$49.1M9.4%
- Individuals$35.4M6.8%
- Individual clients
- 115reported
- HNW clients
- 92reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 688reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.8M for 37 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.31 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• G••••••• M•••••Certified Financial Planner | Southport, Ct | Jun 9, 2006 | 26 y | 0 |
| A••••••• S••••••• C••••••Certified Financial Planner | Southport, Ct | Dec 7, 2006 | 26 y | 0 |
| S•••• D•• P•••••• | Southport, Ct | Aug 2, 2018 | 10 y | 0 |
| C••••••• C••••••• M••••• | Southport, Ct | Jul 8, 2021 | 12 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
- F•••••• M•••••• T•••••• to P•••••• A•••••• G••••• L••Jun 28, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••••••• S••••••• · Managing Membercontrolsince 12/2006 · owns 25% to 50%
- M•••••• C••••• G••••••• · Managing Membercontrolsince 03/2006 · owns 50% to 75%
- P••••••• S••••• D•• · Managing Member And Chief Compliance Officersince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Southport, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50May 5, 2026 to Sep 17, 2026
- Related adviser · false to unsetMay 5, 2026 to Sep 17, 2026
- Related bank · false to unsetMay 5, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMay 5, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMay 5, 2026 to Sep 17, 2026
- Succession · false to unsetMay 5, 2026 to Sep 17, 2026
- Accounts · 655 to 688Mar 12, 2025 to Mar 24, 2026
- Individual clients · 117 to 115Mar 12, 2025 to Mar 24, 2026
- Assets in custody · $37.4M to $43.8MMar 12, 2025 to Mar 24, 2026
- Employees · 6 to 7Mar 12, 2025 to Mar 24, 2026
- Other offices · 2 to 1Mar 12, 2025 to Mar 24, 2026
- Discretionary RAUM · $322M to $361MMar 12, 2025 to Mar 24, 2026
- HNW RAUM · $243M to $277MMar 12, 2025 to Mar 24, 2026
- Individual RAUM · $30.6M to $35.4MMar 12, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $125M to $163MMar 12, 2025 to Mar 24, 2026
- Pension RAUM · $130M to $163MMar 12, 2025 to Mar 24, 2026
- RAUM · $447M to $524MMar 12, 2025 to Mar 24, 2026
- Accounts · 646 to 655Dec 19, 2024 to Mar 12, 2025
- Corporate clients · unset to 4.0Dec 19, 2024 to Mar 12, 2025
- HNW clients · 77 to 92Dec 19, 2024 to Mar 12, 2025
- Individual clients · 129 to 117Dec 19, 2024 to Mar 12, 2025
- Pension plan clients · 12 to 11Dec 19, 2024 to Mar 12, 2025
- Assets in custody · $31.6M to $37.4MDec 19, 2024 to Mar 12, 2025
- Employees · 8 to 6Dec 19, 2024 to Mar 12, 2025
- Financial planning clients · 26-50 to 26-50Dec 19, 2024 to Mar 12, 2025
- State-registered IARs · 6 to 5Dec 19, 2024 to Mar 12, 2025
- Other offices · 3 to 2Dec 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $306M to $322MDec 19, 2024 to Mar 12, 2025
- HNW RAUM · $239M to $243MDec 19, 2024 to Mar 12, 2025
- Individual RAUM · $40.0M to $30.6MDec 19, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $157M to $125MDec 19, 2024 to Mar 12, 2025
- Pension RAUM · $157M to $130MDec 19, 2024 to Mar 12, 2025
- RAUM · $463M to $447MDec 19, 2024 to Mar 12, 2025
- Accounts · 638 to 646Nov 2, 2023 to Mar 27, 2024
- Advisory employees · 6 to 5Nov 2, 2023 to Mar 27, 2024
- Charity clients · 1 to 0Nov 2, 2023 to Mar 27, 2024
- Corporate clients · 3.0 to unsetNov 2, 2023 to Mar 27, 2024
- HNW clients · 76 to 77Nov 2, 2023 to Mar 27, 2024
- Individual clients · 130 to 129Nov 2, 2023 to Mar 27, 2024
- Pension plan clients · 13 to 12Nov 2, 2023 to Mar 27, 2024
Signals
5 dated events
- Mario Suzanne Hammer (Chief Compliance Officer) no longer on Schedule A of 5•• S••••• A•••••••• L•• (listed 2023-11-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- 5•• S••••• A•••••••• L•• reported RAUM $462.6M, up 34% from $345.8M (2023-11-02 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- F•••••• M•••••• T•••••• left 5•• S••••• A•••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2026-03-04)Jun 28, 2022 · a•••••• firm change · fact
- Arthur Maurice Cabral (Chief Compliance Officer) no longer on Schedule A of 5•• S••••• A•••••••• L•• (listed 2021-03-11, absent 2021-10-05)Oct 5, 2021 · Control person left · inference
- Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of 5•• S••••• A•••••••• L••Oct 5, 2021 · Control person joined · 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
- 203-327-1212reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/5thstreetadvisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 5THS•••••A••••••S.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-327-1212reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- 5•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026