DFX Intelligence
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SEC-registered adviser
E•••• C•••••• M••••••••• G••••• L••
Latest filing Feb 23, 2026
First filing on the tape Nov 21, 2011 · 36 filings
SEC status approved since Feb 20, 2009
RAUM
$351M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
4
3 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$351M as of Feb 23, 2026
Mar 15, 2012$201M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 7, 20131 then
Employees (5.A)4 as of Feb 23, 2026
Mar 7, 20133 then
Private funds: no history
RAUM +3.1% over the last fiscal year-2.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- Banks and thrifts$351M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 39reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P••• B•••••Chartered Financial Consultant | Middletown, Ct | Jun 14, 2007 | 33 y | 2 |
| F••••••• A•••••• A•••• | Middletown, Ct | Jan 20, 2017 | 13 y | 1 |
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
- F••••••• A•••••• A•••• from W•••• F•••• A•••••••Jan 20, 2017 · Other
- M•••••• P••• B••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• P••• · Managing Member/Chief Compliance Officercontrolsince 05/2007 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Middletown, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 42 to 39Mar 27, 2025 to Feb 23, 2026
- Discretionary RAUM · $341M to $351MMar 27, 2025 to Feb 23, 2026
- RAUM · $341M to $351MMar 27, 2025 to Feb 23, 2026
- Accounts · 53 to 42Jul 22, 2024 to Mar 27, 2025
- Advisory employees · 2 to 3Jul 22, 2024 to Mar 27, 2025
- Employees · 5 to 4Jul 22, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Jul 22, 2024 to Mar 27, 2025
- HQ city · unset to Jul 22, 2024 to Mar 27, 2025
- HQ state · unset to Jul 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $349M to $341MJul 22, 2024 to Mar 27, 2025
- RAUM · $349M to $341MJul 22, 2024 to Mar 27, 2025
- Accounts · 49 to 53Jun 23, 2023 to Mar 7, 2024
- Discretionary RAUM · $378M to $349MJun 23, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $785,346 to $0Jun 23, 2023 to Mar 7, 2024
- RAUM · $379M to $349MJun 23, 2023 to Mar 7, 2024
- Accounts · 16 to 49Mar 2, 2023 to Mar 24, 2023
- Advisory employees · 1 to 2Mar 2, 2023 to Mar 24, 2023
- Employees · 3 to 5Mar 2, 2023 to Mar 24, 2023
- Financial planning clients · 11-25 to 0Mar 2, 2023 to Mar 24, 2023
- State-registered IARs · 1 to 2Mar 2, 2023 to Mar 24, 2023
- Discretionary RAUM · $476M to $378MMar 2, 2023 to Mar 24, 2023
- Non-discretionary RAUM · $0 to $785,346Mar 2, 2023 to Mar 24, 2023
- RAUM · $476M to $379MMar 2, 2023 to Mar 24, 2023
- Accounts · 49 to 16May 3, 2021 to Mar 28, 2022
- Discretionary RAUM · $469M to $476MMay 3, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $7.4M to $0May 3, 2021 to Mar 28, 2022
- HQ city · CHESHIRE to unsetMar 31, 2021 to May 3, 2021
- HQ state · CT to unsetMar 31, 2021 to May 3, 2021
- Accounts · 36 to 49Mar 19, 2020 to Mar 31, 2021
- Discretionary RAUM · $352M to $469MMar 19, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $7.2M to $7.4MMar 19, 2020 to Mar 31, 2021
- RAUM · $359M to $476MMar 19, 2020 to Mar 31, 2021
- Accounts · 41 to 36Mar 21, 2019 to Mar 19, 2020
- Other offices · 1 to 0Mar 21, 2019 to Mar 19, 2020
- Discretionary RAUM · $306M to $352MMar 21, 2019 to Mar 19, 2020
- Non-discretionary RAUM · $1.7M to $7.2MMar 21, 2019 to Mar 19, 2020
- RAUM · $307M to $359MMar 21, 2019 to Mar 19, 2020
- Accounts · 34 to 41Mar 31, 2018 to Mar 21, 2019
- Discretionary RAUM · $282M to $306MMar 31, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $2.5M to $1.7MMar 31, 2018 to Mar 21, 2019
Signals
1 dated events
- E•••• C•••••• M••••••••• G••••• L•• reported RAUM $476.4M, up 33% from $359.4M (2020-03-19 to 2021-03-31)Mar 31, 2021 · 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
- Website
- E••••CAPGROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 203-699-9662reportedpublic record, Form ADV, Feb 23, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026