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
V••••• F•••• I••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 38 filings
SEC status approved since Jan 25, 2008
RAUM
$35B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.5%
$521M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$8.7B
derived; firm RAUM over IAPD count
Employees
95
74 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
15
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$35B as of Mar 30, 2026
Mar 29, 2012$27B then
HNW client RAUM$521M as of Mar 30, 2026
Mar 29, 2018$564M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20134 then
Employees (5.A)95 as of Mar 30, 2026
Mar 28, 201377 then
Private funds15 as of Mar 30, 2026
Mar 29, 201217 then
RAUM +5.8% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $8.7BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $40.1MderivedHNW RAUM over HNW clients
- Average account
- $154MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 23.8derivedItem 5.A over advisors
- Advisors per office
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $36.4M, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$13B39%
- Pension and profit-sharing plans$7.7B22%
- State and municipal entities$4.2B12%
- Pooled investment vehicles$3.3B9.7%
- Sovereign wealth funds$2.0B5.8%
- Other investment advisers$1.9B5.4%
- Insurance companies$894M2.6%
- High-net-worth individuals$521M1.5%
- Charitable organizations$374M1.1%
- Corporations and businesses$240M0.7%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- 46reported
- Charitable clients
- 7reported
- Accounts
- 226reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.5B managedreported
- Custody of client assets
- $36.4M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.53 institutional_share=0.43 related_bd=true related_bank=true bd_reps=24.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• G•••• | Hartford, Ct | Jun 21, 2013 | 34 y | 0 |
| M•••••• G••••• S••••••Chartered Financial Analyst | Atlanta, Ga | Aug 15, 2013 | 24 y | 0 |
| K••••••• C••••••• M••••••Chartered Financial Analyst | Hartford, Ct | Jun 15, 2015 | 34 y | 0 |
| R••••• A• S•••• | Hartford, Ct | Jul 6, 2022 | 39 y | 4 |
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
none on the tape
Private funds
42 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• V••• C•• I• L••• | Securitized Asset Fund | $543M | 10 | Mar 30, 2016 |
| M••••••• V••• C•• X• L••• | Securitized Asset Fund | $415M | 10 | Mar 26, 2021 |
| M••••••• V••• C•• X•• L••• | Securitized Asset Fund | $412M | 10 | Mar 27, 2020 |
| M••••••• V••• C•• 2••••• | Securitized Asset Fund | $367M | 3 | Mar 28, 2019 |
| M••••••• V••• C•• 2••••• L•• | Securitized Asset Fund | $363M | 10 | Mar 27, 2014 |
| M••••••• V••• C•• X•• L••• | Securitized Asset Fund | $310M | 10 | Mar 29, 2023 |
| M••••••• V••• C•• X••• L•• | Securitized Asset Fund | $307M | 10 | Mar 27, 2024 |
| M••••••• V••• C•• I• L•••no longer reported | Securitized Asset Fund | $231M | 10 | Mar 29, 2012 |
| G•••• H••• C•• L•••no longer reported | Securitized Asset Fund | $194M | 10 | Mar 29, 2012 |
| S•••• H••••• I••••••••• F•••• P•• • S•••• H••••• E••••••• M•••••• D••• F••• | Other Private Fund | $166M | 22 | Mar 27, 2014 |
| S••• C••••• D••••••••• F•••• L•••no longer reported | Other Private Fund | $165M | 24 | Mar 29, 2012 |
| N••••••• C•• 2••••• L••• | Securitized Asset Fund | $134M | 11 | Mar 10, 2018 |
| B•••••••• C•• 1• L•••no longer reported | Securitized Asset Fund | $134M | 0 | Mar 10, 2018 |
| B•••• S••••• C•• I• L•••no longer reported | Securitized Asset Fund | $89.9M | 10 | Mar 29, 2012 |
| S•••• H••••• G••••• F•••• P•• • S•••• H••••• E••••••• M•••••• D••• B•••• P•••••••• | Other Private Fund | $86.1M | 6 | Mar 30, 2012 |
| S•••• H••••• I••••••••• F•••• P•• • S•••• H••••• E••••••• M•••••• L•••• C••••••• D••• F••• | Other Private Fund | $84.0M | 10 | Mar 28, 2013 |
| S•••• H••••• I••••••••• F•••• P•• • S•••• H••••• H••• Y•••• B••• F••• | Other Private Fund | $44.2M | 4 | Mar 27, 2014 |
| S••• M•••• S••••• A••••••• R••••• F••• L•no longer reported | Other Private Fund | $42.9M | 1 | Mar 28, 2013 |
| M••••••• V••• C•• I•• L•••no longer reported | Securitized Asset Fund | $39.5M | 10 | Mar 29, 2012 |
| S•••• H••••• L•••••••• L••• F••• L•• | Other Private Fund | $22.2M | 1 | Mar 27, 2014 |
| S•••• H••••• I••••••••• F•••• P•• • S•••• H••••• I••••••••• G•••• E••••••• M•••••• D••• F••• | Other Private Fund | $19.9M | 5 | Jul 29, 2022 |
| S••• C•• M••••••••• L• | Securitized Asset Fund | $15.7M | 7 | Mar 27, 2024 |
| S•••• H••••• I••••••••• F•••• P•• • S•••• H••••• I••••••••• G•••• E••••••• M•••••• C•••••••• D••• F••• | Other Private Fund | $14.6M | 5 | Jul 29, 2022 |
| B•••• S••••• F•••••• C•• 2••••• L••no longer reported | Securitized Asset Fund | $2.3M | 10 | Mar 29, 2012 |
| M••••••• V••• C•• 2••••• L••• | Securitized Asset Fund | $1.8M | 10 | Mar 30, 2015 |
| M••••••• V••• F•••••• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $1.5M | 10 | Mar 29, 2012 |
| M••••••• V••• C•• X• L••• | Securitized Asset Fund | $1.4M | 10 | Mar 30, 2016 |
| S••• C•• C••••• L• | Securitized Asset Fund | $349,771 | 7 | Mar 27, 2024 |
| M••••••• V••• C•• 2••••• C•••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 27, 2014 |
| M••••••• V••• C•• I• C••••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| G•••• H••• C••• L••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| M••••••• V••• C•• I• L••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 30, 2016 |
| M••••••• V••• F•••••• C•• 2•••••• C••••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| M••••••• V••• C•• X• L••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 30, 2016 |
| M••••••• V••• C•• I•• C••••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| B•••• S••••• F•••••• C•• 2••••• C••••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| M••••••• V••• C•• 2••••• L••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 30, 2015 |
| B•••• S••••• C•• I• C••••no longer reported | Securitized Asset Fund | $100 | 1 | Mar 29, 2012 |
| S••• C••••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 29, 2012 |
| S••• C••••• O••••••••• F••• F•••••••• I• L••no longer reported | Hedge Fund | $0 | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · Executive Vice President, Chief Financial Officercontrolsince 06/2017 · owns less than 5%
- P••••••••• A••••• C•••••• · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- D•••••• D••••••• A•• · Chief Compliance Officersince 03/2008 · owns less than 5%
- R•••••••• D•••••• P••••• · Chief Operating Officersince 01/2022 · owns less than 5%
- S••••• R••••••• W•••••• · Executive Vice Presidentsince 07/2022 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• · Shareholderdirect · owns 75% or more · public reporting company
- V••••• I••••••••• P•••••••• I••• · Sole Shareholderindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment adviserbanknRAUM $13B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment adviserbanknRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsory
- S••• C•• M••••••••• L••investment adviseryRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• Capital Advisers, LLCinvestment adviserbankyRAUM $1.5B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list V••••• F•••• I••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hartford, Ct · principal | 4 | 0 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Park Ridge, NJ27 employees
- New York, NY22 employees
- London, United Kingdom10 employees
- Orlando, FL4 employees
- Singapore, Singapore2 employees
- Atlanta, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 225 to 226May 30, 2025 to Mar 30, 2026
- Advisory employees · 78 to 74May 30, 2025 to Mar 30, 2026
- BD registered reps · 27 to 24May 30, 2025 to Mar 30, 2026
- Charity clients · 10 to 7May 30, 2025 to Mar 30, 2026
- Corporate clients · 5 to 7May 30, 2025 to Mar 30, 2026
- HNW clients · 12 to 13May 30, 2025 to Mar 30, 2026
- Pension plan clients · 52 to 46May 30, 2025 to Mar 30, 2026
- Pooled vehicle clients · 16 to 20May 30, 2025 to Mar 30, 2026
- Assets in custody · $24.8M to $36.4MMay 30, 2025 to Mar 30, 2026
- Employees · 96 to 95May 30, 2025 to Mar 30, 2026
- Private funds · 14 to 15May 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $33B to $35BMay 30, 2025 to Mar 30, 2026
- HNW RAUM · $604M to $521MMay 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $166M to $0May 30, 2025 to Mar 30, 2026
- Pension RAUM · $5.8B to $7.7BMay 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.3B to $3.3BMay 30, 2025 to Mar 30, 2026
- RAUM · $33B to $35BMay 30, 2025 to Mar 30, 2026
- Wrap assets (manager) · $1.6B to $1.5BMay 30, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Apr 28, 2025 to May 30, 2025
- Accounts · 286 to 225Mar 4, 2025 to Apr 28, 2025
- Advisory employees · 79 to 78Mar 4, 2025 to Apr 28, 2025
- BD registered reps · 32 to 27Mar 4, 2025 to Apr 28, 2025
- Charity clients · 20 to 10Mar 4, 2025 to Apr 28, 2025
- Corporate clients · 8 to 5Mar 4, 2025 to Apr 28, 2025
- HNW clients · 16 to 12Mar 4, 2025 to Apr 28, 2025
- Pension plan clients · 87 to 52Mar 4, 2025 to Apr 28, 2025
- Assets in custody · $22.2M to $24.8MMar 4, 2025 to Apr 28, 2025
- Employees · 100 to 96Mar 4, 2025 to Apr 28, 2025
- Private funds · 18 to 14Mar 4, 2025 to Apr 28, 2025
- Discretionary RAUM · $33B to $33BMar 4, 2025 to Apr 28, 2025
- HNW RAUM · $655M to $604MMar 4, 2025 to Apr 28, 2025
- Non-discretionary RAUM · $189M to $166MMar 4, 2025 to Apr 28, 2025
- Pension RAUM · $6.1B to $5.8BMar 4, 2025 to Apr 28, 2025
- Pooled vehicle RAUM · $3.4B to $3.3BMar 4, 2025 to Apr 28, 2025
- RAUM · $33B to $33BMar 4, 2025 to Apr 28, 2025
- Wrap assets (manager) · $1.6B to $1.6BMar 4, 2025 to Apr 28, 2025
- Private funds · 17 to 18Mar 27, 2024 to Mar 4, 2025
- Accounts · 206 to 286Feb 20, 2024 to Mar 27, 2024
- Charity clients · 16 to 20Feb 20, 2024 to Mar 27, 2024
- Corporate clients · 10 to 8Feb 20, 2024 to Mar 27, 2024
Signals
7 dated events
- Robert George Aylward (Chief Executive Officer) no longer on Schedule A of V••••• F•••• I••••• A•••••••• L•• (listed 2023-11-28, absent 2024-02-20)Feb 20, 2024 · Control person left · inference
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of V••••• F•••• I••••• A•••••••• L••Nov 28, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of V••••• F•••• I••••• A•••••••• L•• (listed 2023-03-29, absent 2023-06-27)Jun 27, 2023 · Control person left · inference
- V••••• F•••• I••••• A•••••••• L•• reported RAUM $33.3B, up 101% from $16.6B (2022-03-30 to 2022-07-29)Jul 29, 2022 · RAUM change · derived
- Francis James Keegan (Chief Investment Officer) no longer on Schedule A of V••••• F•••• I••••• A•••••••• L•• (listed 2021-03-26, absent 2022-01-04)Jan 4, 2022 · Control person left · inference
- Stephen Mark Flynn (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of V••••• F•••• I••••• A•••••••• L•• (listed 2019-03-28, absent 2019-10-15)Oct 15, 2019 · Control person left · inference
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of V••••• F•••• I••••• A•••••••• L••Oct 15, 2019 · Control person joined · 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
- Firm profile
- linkedin.com/company/newfleet-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- newfleet.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-332-8172reportedpublic record, Form ADV, Mar 30, 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
- $8.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026