DFX Intelligence

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SEC-registered adviser

B••••• F•••••••• G••••• L••

Independent wealth managerTorrington, ConnecticutCRD 140504SEC 801-123451website IAPD

Latest filing Jun 22, 2026

First filing on the tape Feb 13, 2022 · 16 filings

SEC status approved since Mar 15, 2022

RAUM

$199M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

100%

$199M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$66.4M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$199M as of Jun 22, 2026

Mar 1, 2023$103M then

HNW client RAUM$150M as of Jun 22, 2026

Mar 1, 2023$60.5M then

State-registered IARs (5.B.3)2 as of Jun 22, 2026

Mar 1, 20234 then

Employees (5.A)3 as of Jun 22, 2026

Mar 1, 20234 then

Private funds: no history

RAUM +18% over the last fiscal year+25% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jun 22, 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
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: $66.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $399,051derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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$150M75%
Individuals$49.2M25%
Corporations and businesses$69,7960.0%

Individual clients: 127reported
HNW clients: 65reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 499reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• A••••• T•••••••Certified Financial Planner	Torrington, Ct	Jun 22, 2006	22 y	1
S••••• L••• T•••••••	Torrington, Ct	Jan 24, 2011	16 y	0
J••• E••••• S•••••••Certified Financial Planner	Torrington, Ct	Mar 8, 2017	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 headcount1 left over 36 months

Left, latest

J•••• A••••• F••••• to V••• F•••••••• A•••••••• I•••
Aug 15, 2024 · RIA to affiliated broker-dealer or bank
L••• J• P•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
Jun 1, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

J•••• A••••• F••••• from R•••••• J•••• • A••••••••• I•••
Nov 6, 2023 · Affiliated broker-dealer or bank to independent RIA
J•••• A••••• T••••••• from C•••••••• G••••• M•••••• I•••
Jun 22, 2006 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••••• J••••• A••••• · Managing Partnercontrol
since 03/2006 · owns 50% to 75%
T•••••••• S•••••• L••• · Partner & Chief Compliance Officercontrol
since 03/2011 · owns 5% to 10%
S•••••••• J•••• E••••• · Partner
since 11/2022 · owns 25% to 50%

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
Torrington, Ct · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

Burlington, CT1 employees

What changed

consecutive filings, newest first

Accounts · 480 to 499
Mar 4, 2025 to Feb 4, 2026
Corporate clients · 2 to 1
Mar 4, 2025 to Feb 4, 2026
HNW clients · 54 to 65
Mar 4, 2025 to Feb 4, 2026
Individual clients · 132 to 127
Mar 4, 2025 to Feb 4, 2026
Financial planning clients · 1-10 to 26-50
Mar 4, 2025 to Feb 4, 2026
Discretionary RAUM · $163M to $195M
Mar 4, 2025 to Feb 4, 2026
HNW RAUM · $120M to $150M
Mar 4, 2025 to Feb 4, 2026
Individual RAUM · $47.9M to $49.2M
Mar 4, 2025 to Feb 4, 2026
Non-discretionary RAUM · $5.4M to $4.2M
Mar 4, 2025 to Feb 4, 2026
RAUM · $169M to $199M
Mar 4, 2025 to Feb 4, 2026
Accounts · 446 to 480
Aug 15, 2024 to Mar 4, 2025
HNW clients · 48 to 54
Aug 15, 2024 to Mar 4, 2025
Individual clients · 128 to 132
Aug 15, 2024 to Mar 4, 2025
Employees · 4 to 3
Aug 15, 2024 to Mar 4, 2025
Financial planning clients · 1-10 to 1-10
Aug 15, 2024 to Mar 4, 2025
State-registered IARs · 3 to 2
Aug 15, 2024 to Mar 4, 2025
Discretionary RAUM · $128M to $163M
Aug 15, 2024 to Mar 4, 2025
HNW RAUM · $88.2M to $120M
Aug 15, 2024 to Mar 4, 2025
Individual RAUM · $42.9M to $47.9M
Aug 15, 2024 to Mar 4, 2025
Non-discretionary RAUM · $3.9M to $5.4M
Aug 15, 2024 to Mar 4, 2025
RAUM · $132M to $169M
Aug 15, 2024 to Mar 4, 2025
Advisory employees · 3 to 2
Mar 5, 2024 to Aug 15, 2024
State-registered IARs · 4 to 3
Mar 5, 2024 to Aug 15, 2024
Accounts · 408 to 446
Nov 21, 2023 to Mar 5, 2024
HNW clients · 38 to 48
Nov 21, 2023 to Mar 5, 2024
Individual clients · 127 to 128
Nov 21, 2023 to Mar 5, 2024
Discretionary RAUM · $99.7M to $128M
Nov 21, 2023 to Mar 5, 2024
HNW RAUM · $60.5M to $88.2M
Nov 21, 2023 to Mar 5, 2024
Individual RAUM · $42.2M to $42.9M
Nov 21, 2023 to Mar 5, 2024
Non-discretionary RAUM · $3.4M to $3.9M
Nov 21, 2023 to Mar 5, 2024
RAUM · $103M to $132M
Nov 21, 2023 to Mar 5, 2024
Other offices · 0 to 1
Jun 1, 2023 to Sep 5, 2023
Accounts · 388 to 408
Nov 3, 2022 to Mar 1, 2023
HNW clients · 37 to 38
Nov 3, 2022 to Mar 1, 2023
Individual clients · 122 to 127
Nov 3, 2022 to Mar 1, 2023
Assets in custody · 33000000.0 to unset
Nov 3, 2022 to Mar 1, 2023
Custody of client assets · true to false
Nov 3, 2022 to Mar 1, 2023
Discretionary RAUM · $112M to $99.7M
Nov 3, 2022 to Mar 1, 2023
HNW RAUM · $66.0M to $60.5M
Nov 3, 2022 to Mar 1, 2023
Individual RAUM · $48.6M to $42.2M
Nov 3, 2022 to Mar 1, 2023

Signals

3 dated events

J•••• A••••• F••••• left B••••• F•••••••• G••••• L•• for V••• F•••••••• A•••••••• I••• (registered 2026-01-07)
Aug 15, 2024 · Advisor changed firm · fact
L••• J• P•••••• left B••••• F•••••••• G••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-06)
Jun 1, 2023 · Advisor changed firm · fact
B••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Feb 13, 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

Firm profile: linkedin.com/company/85889309reportedpublic record, Form ADV, Jun 22, 2026
Website: b•••••••••.comreportedpublic record, Form ADV, Jun 22, 2026
Principal office phone: 860.489.0432reportedpublic record, Form ADV, Jun 22, 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: $66.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026