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•••••••• C•••••• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Jan 13, 2025
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$12.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$104M as of Mar 16, 2026
Mar 28, 2012$83.4M then
HNW client RAUM$11.4M as of Mar 16, 2026
Mar 22, 2021$72.8M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Mar 22, 20212 then
Private funds1 as of Mar 16, 2026
Mar 28, 20121 then
RAUM +12% over the last fiscal year-5.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $12.0MreportedItem 5.I
- Custody
- $92.2M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$92.2M89%
- High-net-worth individuals$11.4M11%
- Individuals$511,0000.5%
- Individual clients
- 6reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $92.2M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.11 fund_share=0.89 institutional_share=0.0 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 |
|---|---|---|---|---|
| T••••• F••••••• P••••••• | New Canaan, Ct | May 16, 2006 | 34 y | 2 |
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
none on the tape
Joined, latest
- T••••• F••••••• P••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 16, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P•••• F•••• L• | Hedge Fund | $89.1M | 18 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• T•••••• F••••••• · Member/Chief Compliance Officercontrolsince 03/2006 · 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 · 15 to 17Mar 13, 2025 to Mar 16, 2026
- HNW clients · 11 to 10Mar 13, 2025 to Mar 16, 2026
- Individual clients · 3 to 6Mar 13, 2025 to Mar 16, 2026
- Assets in custody · $82.9M to $92.2MMar 13, 2025 to Mar 16, 2026
- Discretionary RAUM · $93.3M to $104MMar 13, 2025 to Mar 16, 2026
- HNW RAUM · $10.2M to $11.4MMar 13, 2025 to Mar 16, 2026
- Individual RAUM · $199,216 to $511,000Mar 13, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $82.9M to $92.2MMar 13, 2025 to Mar 16, 2026
- RAUM · $93.3M to $104MMar 13, 2025 to Mar 16, 2026
- Accounts · 14 to 15Dec 13, 2024 to Mar 13, 2025
- HNW clients · 10 to 11Dec 13, 2024 to Mar 13, 2025
- Assets in custody · $89.1M to $82.9MDec 13, 2024 to Mar 13, 2025
- Financial planning clients · unset to Dec 13, 2024 to Mar 13, 2025
- Discretionary RAUM · $100M to $93.3MDec 13, 2024 to Mar 13, 2025
- HNW RAUM · $11.0M to $10.2MDec 13, 2024 to Mar 13, 2025
- Individual RAUM · $139,000 to $199,216Dec 13, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $89.1M to $82.9MDec 13, 2024 to Mar 13, 2025
- RAUM · $100M to $93.3MDec 13, 2024 to Mar 13, 2025
- Accounts · 17 to 14Mar 26, 2024 to Dec 13, 2024
- Advisory activities · 3 to 2Mar 26, 2024 to Dec 13, 2024
- HNW clients · 15 to 10Mar 26, 2024 to Dec 13, 2024
- Individual clients · 1 to 3Mar 26, 2024 to Dec 13, 2024
- Assets in custody · $68.2M to $89.1MMar 26, 2024 to Dec 13, 2024
- Employees · 2 to 3Mar 26, 2024 to Dec 13, 2024
- Discretionary RAUM · $75.5M to $100MMar 26, 2024 to Dec 13, 2024
- HNW RAUM · $7.1M to $11.0MMar 26, 2024 to Dec 13, 2024
- Individual RAUM · $130,000 to $139,000Mar 26, 2024 to Dec 13, 2024
- Pooled vehicle RAUM · $68.2M to $89.1MMar 26, 2024 to Dec 13, 2024
- RAUM · $75.5M to $100MMar 26, 2024 to Dec 13, 2024
- Accounts · 73 to 17Mar 6, 2023 to Jan 23, 2024
- Charity clients · 1 to 0Mar 6, 2023 to Jan 23, 2024
- HNW clients · 51 to 15Mar 6, 2023 to Jan 23, 2024
- Individual clients · 20 to 1Mar 6, 2023 to Jan 23, 2024
- Assets in custody · $58.4M to $68.2MMar 6, 2023 to Jan 23, 2024
- Discretionary RAUM · $122M to $75.5MMar 6, 2023 to Jan 23, 2024
- HNW RAUM · $59.6M to $7.1MMar 6, 2023 to Jan 23, 2024
- Individual RAUM · $3.5M to $130,000Mar 6, 2023 to Jan 23, 2024
- Pooled vehicle RAUM · $58.4M to $68.2MMar 6, 2023 to Jan 23, 2024
- RAUM · $122M to $75.5MMar 6, 2023 to Jan 23, 2024
- Accounts · 79 to 73Feb 3, 2022 to Mar 6, 2023
Signals
1 dated events
- A•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 27, 2020 · 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
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-966-7707reportedpublic record, Form ADV, Mar 16, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026