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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Former SEC-registered adviser

F••••••• W••••• M••••••••• L••

Former SEC-registered adviserWest Hartford, ConnecticutCRD 145450SEC 801-68464IAPD
Latest filing Jun 3, 2014
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$58.1M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$58.1M as of Mar 20, 2014
Mar 28, 2012$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 20, 2014
Mar 28, 20134 then
Employees (5.A)8 as of Mar 20, 2014
Mar 28, 20135 then
Private funds: no history
RAUM -69% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Jun 3, 2014; every figure names its basis
RAUM per advisor
$11.6MderivedRAUM 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
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-69%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
Custody
$1.3M, 2 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$1.3M for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••••• T•••••• J••••• · Managing Directorcontrol
      since 09/2007 · owns less than 5%
    • K••••••• L••••• C• · Chief Compliance Officercontrol
      since 06/2013 · owns less than 5%
    • F•••••••• T•••••• J••••• · Ownercontrol
      since 01/1980 · owns 25% to 50% of F••••••• • C••••••• P•••
    • R••••••• J••••• G••••• · Ownercontrol
      since 02/1990 · owns 25% to 50% of F••••••• • C••••••• P•••
    • S•••••••• J•••••• E•••• · Ownercontrol
      since 01/2001 · owns 25% to 50% of F••••••• • C••••••• P•••
    • T••••••• G•••••• M••••••••• · Ownercontrol
      since 01/1997 · owns 25% to 50% of F••••••• • C••••••• P•••
    Entity owners
    • F••••••• • C••••••• P••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • F••••••• • C••••••• P•••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • West Haven, CT
    What changed
    consecutive filings, newest first
    • Accounts · 226 to 36
      Jul 10, 2013 to Mar 20, 2014
    • Advisory employees · 1 to 5
      Jul 10, 2013 to Mar 20, 2014
    • Assets in custody · $4.9M to $1.3M
      Jul 10, 2013 to Mar 20, 2014
    • Employees · 11 to 8
      Jul 10, 2013 to Mar 20, 2014
    • State-registered IARs · 1 to 5
      Jul 10, 2013 to Mar 20, 2014
    • Discretionary RAUM · $124M to $43.7M
      Jul 10, 2013 to Mar 20, 2014
    • Non-discretionary RAUM · $62.6M to $14.3M
      Jul 10, 2013 to Mar 20, 2014
    • RAUM · $186M to $58.1M
      Jul 10, 2013 to Mar 20, 2014
    • Advisory employees · 4 to 1
      Mar 28, 2013 to Jun 24, 2013
    • Employees · 5 to 11
      Mar 28, 2013 to Jun 24, 2013
    • State-registered IARs · 4 to 1
      Mar 28, 2013 to Jun 24, 2013
    • Accounts · 234 to 226
      Mar 28, 2012 to Mar 28, 2013
    • Advisory employees · unset to 4.0
      Mar 28, 2012 to Mar 28, 2013
    • Assets in custody · unset to 4916587.0
      Mar 28, 2012 to Mar 28, 2013
    • Custody of client assets · false to true
      Mar 28, 2012 to Mar 28, 2013
    • Employees · unset to 5.0
      Mar 28, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 4.0
      Mar 28, 2012 to Mar 28, 2013
    • Discretionary RAUM · $115M to $124M
      Mar 28, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $42.5M to $62.6M
      Mar 28, 2012 to Mar 28, 2013
    • RAUM · $158M to $186M
      Mar 28, 2012 to Mar 28, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026