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
G••••• H••• A•••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Dec 1, 2011 · 33 filings
SEC status approved since Jun 5, 2007
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$755M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$249M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.2B as of Mar 17, 2026
Feb 7, 2012$173M then
HNW client RAUM$744M as of Mar 17, 2026
Feb 27, 2018$240M then
State-registered IARs (5.B.3)5 as of Mar 17, 2026
Jan 24, 20133 then
Employees (5.A)10 as of Mar 17, 2026
Jan 24, 20135 then
Private funds: no history
RAUM +59% over the last fiscal year+26% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $249MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $192M, 67 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$744M60%
- State and municipal entities$351M28%
- Other investment advisers$90.6M7.3%
- Charitable organizations$26.3M2.1%
- Corporations and businesses$13.4M1.1%
- Individuals$10.9M0.9%
- Pension and profit-sharing plans$8.2M0.7%
- Individual clients
- 34reported
- HNW clients
- 255reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 648reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $27.3M managedreported
- Custody of client assets
- $192M for 67 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.61 fund_share=0.07 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• O•••••• | New Canaan, Ct | Aug 27, 2007 | 42 y | 1 |
| J•••• V••••••••• H••••••••• | New Canaan, Ct | Aug 27, 2007 | 29 y | 2 |
| G•••••• J••• S•••••Chartered Financial Analyst | New Canaan, Ct | Sep 5, 2013 | 17 y | 0 |
| J•••• F••••Chartered Financial Analyst | New Canaan, Ct | Oct 5, 2021 | 13 y | 0 |
| B••••• C•••••••• L••••• | New Canaan, Ct | Mar 29, 2024 | 10 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
none on the tape
Joined, latest
- J••••••• O•••••• from W••••••• C•••••• M••••••• L••Aug 27, 2007 · Other
- J•••• V••••••••• H••••••••• from W••••••• C•••••• M••••••• L••Aug 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J••••• V••••••••• · Chief Executive Officer/Managing Membercontrolsince 10/2009 · owns 75% or more
- H••••••••• J•••• B•••••• · Chief Operating Officer/Chief Compliance Officercontrolsince 10/2009 · owns less than 5%
- S•••••• G••••••• J••• · Portfolio Manager/Membersince 01/2016 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| New Canaan, Ct · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 17, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $782,940,311 to $1,244,139,379, advisors 5 to 5, private clients 271 to 289, offices 0 to 0 (2025-02-05 to 2026-03-17)peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $782,940,311 to $1,244,139,379 (+59.0%) between the annual amendments of 2025-02-05 and 2026-03-17; the peer median change was +17.0% (1298 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 94% percentile
- client mix shiftChange between filings · filing Mar 17, 2026private-client share of RAUM moved from 83.0% to 61.0% between the annual amendments of 2025-02-05 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 17, 2026HNW share of RAUM moved from 80.0% to 60.0% between the annual amendments of 2025-02-05 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Mar 17, 2026institutional share of RAUM moved from 17.0% to 39.0% between the annual amendments of 2025-02-05 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 596 to 648Feb 5, 2025 to Mar 17, 2026
- Corporate clients · 5.0 to unsetFeb 5, 2025 to Mar 17, 2026
- HNW clients · 226 to 255Feb 5, 2025 to Mar 17, 2026
- Individual clients · 45 to 34Feb 5, 2025 to Mar 17, 2026
- Pension plan clients · 5.0 to unsetFeb 5, 2025 to Mar 17, 2026
- Assets in custody · $135M to $192MFeb 5, 2025 to Mar 17, 2026
- Discretionary RAUM · $783M to $1.2BFeb 5, 2025 to Mar 17, 2026
- HNW RAUM · $629M to $744MFeb 5, 2025 to Mar 17, 2026
- Individual RAUM · $20.4M to $10.9MFeb 5, 2025 to Mar 17, 2026
- Pension RAUM · $14.6M to $8.2MFeb 5, 2025 to Mar 17, 2026
- RAUM · $783M to $1.2BFeb 5, 2025 to Mar 17, 2026
- Wrap assets (manager) · $24.3M to $27.3MFeb 5, 2025 to Mar 17, 2026
- Accounts · 594 to 596Mar 29, 2024 to Feb 5, 2025
- Corporate clients · 6 to 5Mar 29, 2024 to Feb 5, 2025
- HNW clients · 225 to 226Mar 29, 2024 to Feb 5, 2025
- Individual clients · 46 to 45Mar 29, 2024 to Feb 5, 2025
- Pension plan clients · unset to 5.0Mar 29, 2024 to Feb 5, 2025
- Assets in custody · $107M to $135MMar 29, 2024 to Feb 5, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Feb 5, 2025
- Discretionary RAUM · $705M to $783MMar 29, 2024 to Feb 5, 2025
- HNW RAUM · $564M to $629MMar 29, 2024 to Feb 5, 2025
- Individual RAUM · $17.5M to $20.4MMar 29, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $257,571 to $0Mar 29, 2024 to Feb 5, 2025
- Pension RAUM · $9.3M to $14.6MMar 29, 2024 to Feb 5, 2025
- RAUM · $705M to $783MMar 29, 2024 to Feb 5, 2025
- Wrap assets (manager) · $25.8M to $24.3MMar 29, 2024 to Feb 5, 2025
- State-registered IARs · 4 to 5Feb 27, 2024 to Mar 29, 2024
- Accounts · 566 to 594May 1, 2023 to Feb 6, 2024
- Charity clients · 7 to 10May 1, 2023 to Feb 6, 2024
- Corporate clients · 7 to 6May 1, 2023 to Feb 6, 2024
- HNW clients · 230 to 225May 1, 2023 to Feb 6, 2024
- Individual clients · 42 to 46May 1, 2023 to Feb 6, 2024
- Assets in custody · $106M to $107MMay 1, 2023 to Feb 6, 2024
- Discretionary RAUM · $623M to $705MMay 1, 2023 to Feb 6, 2024
- HNW RAUM · $516M to $564MMay 1, 2023 to Feb 6, 2024
- Individual RAUM · $13.3M to $17.5MMay 1, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $230,929 to $257,571May 1, 2023 to Feb 6, 2024
- Pension RAUM · $7.3M to $9.3MMay 1, 2023 to Feb 6, 2024
- RAUM · $623M to $705MMay 1, 2023 to Feb 6, 2024
- Wrap assets (manager) · $14.9M to $25.8MMay 1, 2023 to Feb 6, 2024
Signals
2 dated events
- G••••• H••• A•••• M••••••••• L•• reported RAUM $1.2B, up 59% from $782.9M (2025-02-05 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- G••••• H••• A•••• M••••••••• L•• reported RAUM $597.1M, up 42% from $419.2M (2021-08-09 to 2022-02-14)Feb 14, 2022 · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/1058290reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.G•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-571-0225reportedpublic record, Form ADV, Mar 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
- $249Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026