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.
SEC-registered adviser
Clinton Investment Management, LLC
Latest filing May 14, 2026
First filing on the tape Mar 26, 2012 · 36 filings
SEC status approved since Jun 26, 2008
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$3.5B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$355M
derived; firm RAUM over IAPD count
Employees
14
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$3.9B as of May 14, 2026
Mar 26, 2012$201M then
HNW client RAUM$2.9B as of May 14, 2026
Mar 29, 2018$357M then
State-registered IARs (5.B.3)12 as of May 14, 2026
Mar 26, 20120 then
Employees (5.A)14 as of May 14, 2026
Mar 18, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+32% a year over threeIARs 11 to 12
Practice profile
derived from the filing of May 14, 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
- $355MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 190derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.9B73%
- Individuals$630M16%
- Corporations and businesses$221M5.7%
- Investment companies$185M4.7%
- Individual clients
- 1,136reported
- HNW clients
- 959reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,146reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Ira Clinton | Stamford, Ct | Apr 27, 2007 | 31 y | 0 |
| David Alan KarpaChartered Financial Analyst | Stamford, Ct | Jul 29, 2017 | 28 y | 0 |
| Mark Charles Sullivan | Stamford, Ct | Jul 31, 2019 | 21 y | 0 |
| Alexander Dewitt Clinton | Stamford, Ct | Jan 24, 2023 | 14 y | 0 |
| Lane Steven Bucklan | Stamford, Ct | Nov 3, 2023 | 32 y | 2 |
| Shivani SinghChartered Financial Analyst | Stamford, Ct | Jan 30, 2024 | 16 y | 0 |
| Sean Coffey | Stamford, Ct | Mar 30, 2024 | 13 y | 0 |
| Lynn O'Shea | Stamford, Ct | Apr 1, 2024 | 10 y | 0 |
| Trevor James Smallwood | Stamford, Ct | Apr 8, 2024 | 24 y | 6 |
| Anya Sanjay Dalal | Stamford, Ct | Oct 14, 2025 | 11 y | 0 |
| Thomas Desiderio | Stamford, Ct | Dec 10, 2025 | 18 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Justin Carfora to First Trust Advisors LPJul 17, 2017 · Other
Joined, latest
- Thomas Desiderio from Symmetry PartnersDec 10, 2025 · RIA to RIA
- Trevor James Smallwood from Brandes Investment Partners, LPApr 8, 2024 · Other
- Lane Steven Bucklan from Iridian Asset Management LLCNov 3, 2023 · Other
- Justin Carfora from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 25, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Alicia Clinton · Trustee, Andrew Clinton Irrevocable Trust Agreement U/Acontrolsince 06/2025 · owns less than 5%
- Ira Andrew Clinton · Trustee, Andrew Clinton Irrevocable Trust Agreement U/Acontrolsince 06/2025 · owns less than 5%
- Steven Lane Bucklan · General Counsel And Chief Compliance Officersince 11/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 14, 2026CLINTON, ALICIA, ANN (TRUSTEE, ANDREW CLINTON IRREVOCABLE TRUST AGREEMENT U/A) appeared on Schedule A between the filings of 2023-11-06 and 2026-05-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,846 to 2,146Mar 20, 2025 to Mar 20, 2026
- Advisory employees · 10 to 11Mar 20, 2025 to Mar 20, 2026
- Corporate clients · 43 to 48Mar 20, 2025 to Mar 20, 2026
- HNW clients · 682 to 959Mar 20, 2025 to Mar 20, 2026
- Individual clients · 1,118 to 1,136Mar 20, 2025 to Mar 20, 2026
- State-registered IARs · 11 to 12Mar 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $3.5B to $3.9BMar 20, 2025 to Mar 20, 2026
- HNW RAUM · $2.5B to $2.9BMar 20, 2025 to Mar 20, 2026
- Individual RAUM · $686M to $630MMar 20, 2025 to Mar 20, 2026
- RAUM · $3.5B to $3.9BMar 20, 2025 to Mar 20, 2026
- Wrap assets (manager) · $2.5B to $2.5BMar 20, 2025 to Mar 20, 2026
- Accounts · 1,402 to 1,846Dec 10, 2024 to Mar 20, 2025
- Corporate clients · 49 to 43Dec 10, 2024 to Mar 20, 2025
- HNW clients · 627 to 682Dec 10, 2024 to Mar 20, 2025
- Individual clients · 723 to 1,118Dec 10, 2024 to Mar 20, 2025
- Financial planning clients · unset to Dec 10, 2024 to Mar 20, 2025
- State-registered IARs · 8 to 11Dec 10, 2024 to Mar 20, 2025
- Discretionary RAUM · $2.8B to $3.5BDec 10, 2024 to Mar 20, 2025
- HNW RAUM · $2.0B to $2.5BDec 10, 2024 to Mar 20, 2025
- Individual RAUM · $401M to $686MDec 10, 2024 to Mar 20, 2025
- RAUM · $2.8B to $3.5BDec 10, 2024 to Mar 20, 2025
- Wrap assets (manager) · $1.8B to $2.5BDec 10, 2024 to Mar 20, 2025
- Accounts · 716 to 1,402Nov 6, 2023 to Mar 25, 2024
- Advisory employees · 7 to 10Nov 6, 2023 to Mar 25, 2024
- Advisory activities · 1 to 3Nov 6, 2023 to Mar 25, 2024
- Corporate clients · 31 to 49Nov 6, 2023 to Mar 25, 2024
- HNW clients · 370 to 627Nov 6, 2023 to Mar 25, 2024
- Individual clients · 315 to 723Nov 6, 2023 to Mar 25, 2024
- Employees · 9 to 14Nov 6, 2023 to Mar 25, 2024
- State-registered IARs · 6 to 8Nov 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.7B to $2.8BNov 6, 2023 to Mar 25, 2024
- HNW RAUM · $1.2B to $2.0BNov 6, 2023 to Mar 25, 2024
- Individual RAUM · $181M to $401MNov 6, 2023 to Mar 25, 2024
- RAUM · $1.7B to $2.8BNov 6, 2023 to Mar 25, 2024
- Wrap assets (manager) · $813M to $1.8BNov 6, 2023 to Mar 25, 2024
- Accounts · 520 to 716Nov 23, 2022 to Mar 29, 2023
- Advisory employees · 6 to 7Nov 23, 2022 to Mar 29, 2023
- Corporate clients · 15 to 31Nov 23, 2022 to Mar 29, 2023
- HNW clients · 326 to 370Nov 23, 2022 to Mar 29, 2023
- Individual clients · 179 to 315Nov 23, 2022 to Mar 29, 2023
Signals
5 dated events
- Clinton Investment Management, Llc reported RAUM $2.8B, up 69% from $1.7B (2023-11-06 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Clinton Investment Management, Llc reported RAUM $1.4B, up 34% from $1.0B (2021-12-10 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Walter Mark Steffen (Cco) no longer on Schedule A of Clinton Investment Management, Llc (listed 2021-12-10, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Clinton Investment Management, Llc reported RAUM $1.0B, up 40% from $749.1M (2020-12-07 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Clinton Investment Management, Llc reported RAUM $749.1M, up 36% from $549.3M (2019-03-28 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
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
- 203-276-6246reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/clinton-investment-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CLINTONINVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 276-6246reportedpublic record, Form ADV, May 14, 2026
- Contact form
- clintoninvestment.com/connectreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- clintoninvestment.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $355Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026