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

S•••••••• F•••••••• A•••••••• L••

Former SEC-registered adviserGuilford, ConnecticutCRD 146040SEC 801-68688IAPD
Latest filing Jun 29, 2022
First filing on the tape Apr 3, 2012 · 28 filings
RAUM
$223M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$211M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$223M as of Feb 17, 2022
Apr 3, 2012$95.7M then
HNW client RAUM$139M as of Feb 17, 2022
Mar 5, 2018$69.4M then
State-registered IARs (5.B.3)2 as of Feb 17, 2022
Apr 3, 20120 then
Employees (5.A)4 as of Feb 17, 2022
Mar 28, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 2022; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
134derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$330,255derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
5.4%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
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • High-net-worth individuals$139M62%
  • Individuals$72.4M32%
  • Pension and profit-sharing plans$10.8M4.8%
  • Charitable organizations$1.2M0.5%
Individual clients
205reported
HNW clients
63reported
Pension plan clients
3reported
Charitable clients
2reported
Accounts
676reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • S••••• B••••••• T••••• · Managing Member / Principal / Chief Compliance Officercontrol
      since 07/1996 · owns 50% to 75%
    • S••••• P••••••• M••••• · Managing Member / Principalcontrol
      since 02/2001 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 660 to 676
      Dec 16, 2021 to Feb 17, 2022
    • HNW clients · 53 to 63
      Dec 16, 2021 to Feb 17, 2022
    • Individual clients · 222 to 205
      Dec 16, 2021 to Feb 17, 2022
    • Discretionary RAUM · $182M to $212M
      Dec 16, 2021 to Feb 17, 2022
    • HNW RAUM · $114M to $139M
      Dec 16, 2021 to Feb 17, 2022
    • Individual RAUM · $69.2M to $72.4M
      Dec 16, 2021 to Feb 17, 2022
    • Non-discretionary RAUM · $12.5M to $11.7M
      Dec 16, 2021 to Feb 17, 2022
    • Pension RAUM · $10.0M to $10.8M
      Dec 16, 2021 to Feb 17, 2022
    • RAUM · $195M to $223M
      Dec 16, 2021 to Feb 17, 2022
    • Custody of client assets · true to false
      Feb 11, 2021 to Dec 16, 2021
    • Employees · 3 to 4
      Feb 11, 2021 to Dec 16, 2021
    • Accounts · 665 to 660
      Dec 11, 2020 to Feb 11, 2021
    • HNW clients · 49 to 53
      Dec 11, 2020 to Feb 11, 2021
    • Individual clients · 212 to 222
      Dec 11, 2020 to Feb 11, 2021
    • Assets in custody · $50,230 to $0
      Dec 11, 2020 to Feb 11, 2021
    • Discretionary RAUM · $168M to $182M
      Dec 11, 2020 to Feb 11, 2021
    • HNW RAUM · $100M to $114M
      Dec 11, 2020 to Feb 11, 2021
    • Individual RAUM · $68.7M to $69.2M
      Dec 11, 2020 to Feb 11, 2021
    • Non-discretionary RAUM · $10.2M to $12.5M
      Dec 11, 2020 to Feb 11, 2021
    • Pension RAUM · $8.1M to $10.0M
      Dec 11, 2020 to Feb 11, 2021
    • RAUM · $178M to $195M
      Dec 11, 2020 to Feb 11, 2021
    • Advisory employees · 3 to 2
      May 28, 2020 to Oct 29, 2020
    • Employees · 4 to 3
      May 28, 2020 to Oct 29, 2020
    • State-registered IARs · 3 to 2
      May 28, 2020 to Oct 29, 2020
    • Accounts · 683 to 665
      Dec 19, 2019 to Feb 14, 2020
    • Advisory employees · 2 to 3
      Dec 19, 2019 to Feb 14, 2020
    • HNW clients · 43 to 49
      Dec 19, 2019 to Feb 14, 2020
    • Individual clients · 195 to 212
      Dec 19, 2019 to Feb 14, 2020
    • Pension plan clients · 6 to 3
      Dec 19, 2019 to Feb 14, 2020
    • Assets in custody · $326,131 to $50,230
      Dec 19, 2019 to Feb 14, 2020
    • Financial planning clients · 26-50 to 51-100
      Dec 19, 2019 to Feb 14, 2020
    • State-registered IARs · 2 to 3
      Dec 19, 2019 to Feb 14, 2020
    • Discretionary RAUM · $140M to $168M
      Dec 19, 2019 to Feb 14, 2020
    • HNW RAUM · $83.8M to $100M
      Dec 19, 2019 to Feb 14, 2020
    • Individual RAUM · $62.7M to $68.7M
      Dec 19, 2019 to Feb 14, 2020
    • Non-discretionary RAUM · $18.7M to $10.2M
      Dec 19, 2019 to Feb 14, 2020
    • Pension RAUM · $10.9M to $8.1M
      Dec 19, 2019 to Feb 14, 2020
    • RAUM · $158M to $178M
      Dec 19, 2019 to Feb 14, 2020
    • Advisory employees · 3 to 2
      Sep 23, 2019 to Dec 19, 2019
    • State-registered IARs · 3 to 2
      Sep 23, 2019 to Dec 19, 2019
    Signals
    3 dated events
    • B•••••• T••••• S•••• left S•••••••• F•••••••• A•••••••• L•• for E••••••• W••••• A••••••• (registered 2023-01-18)
      Mar 16, 2023 · Advisor changed firm · fact
    • P•••••• M••••• S•••• left S•••••••• F•••••••• A•••••••• L•• for E••••••• W••••• A••••••• (registered 2023-02-02)
      Mar 16, 2023 · Advisor changed firm · fact
    • 2 advisors left S•••••••• F•••••••• A•••••••• L•• (Guilford, CT) for E••••••• W••••• A••••••• on the same day
      Mar 16, 2023 · Team lift-out · derived
    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