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
N••••• • C•••••• F•••••••• G••••• L••
Latest filing Mar 26, 2024
First filing on the tape Nov 10, 2011 · 18 filings
SEC status approved since Jul 29, 2009
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$215M as of Mar 26, 2024
Mar 27, 2012$141M then
HNW client RAUM$123M as of Mar 26, 2024
Mar 9, 2018$98.7M then
State-registered IARs (5.B.3)1 as of Mar 26, 2024
Mar 27, 20120 then
Employees (5.A)7 as of Mar 26, 2024
Mar 20, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+3.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 177derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $215MreportedItem 5.I
- Custody
- $17.0M, 10 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)
- 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$123M57%
- Individuals$66.5M31%
- Corporations and businesses$21.3M9.9%
- Pension and profit-sharing plans$3.7M1.7%
- Charitable organizations$904,2530.4%
- Individual clients
- 100reported
- HNW clients
- 77reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 185reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $17.0M for 10 clientsreported
- Compensation
- % of AUMreported
- 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
- S••••• S•••• N••••• to S•••••• P••••••• I••••••••• A•••••••• L••Mar 18, 2025 · RIA to affiliated broker-dealer or bank
- J••••• M• P•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 7, 2010 · Other
Joined, latest
- J••••• M• P•••••• from L•• F•••••••• L••Sep 30, 2009 · Other
- S••••• S•••• N••••• from L•• F•••••••• L••Sep 15, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• L•••• A•• · Ownercontrolsince 02/2005 · owns 50% to 75%
- N•••••• S•••••• S•••• · Managing Member & Chief Compliance Officercontrolsince 02/2005 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Jackson, Wy | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New Canaan, CT2 employees
What changed
consecutive filings, newest first
- Accounts · 181 to 185Mar 31, 2023 to Mar 26, 2024
- Charity clients · unset to 1.0Mar 31, 2023 to Mar 26, 2024
- Corporate clients · 12 to 4Mar 31, 2023 to Mar 26, 2024
- HNW clients · 91 to 77Mar 31, 2023 to Mar 26, 2024
- Individual clients · 75 to 100Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $15.5M to $17.0MMar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $183M to $215MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $104M to $123MMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $56.6M to $66.5MMar 31, 2023 to Mar 26, 2024
- Pension RAUM · $3.6M to $3.7MMar 31, 2023 to Mar 26, 2024
- RAUM · $183M to $215MMar 31, 2023 to Mar 26, 2024
- Accounts · 174 to 181Mar 29, 2022 to Mar 31, 2023
- HNW clients · 90 to 91Mar 29, 2022 to Mar 31, 2023
- Assets in custody · $18.5M to $15.5MMar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $219M to $183MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $125M to $104MMar 29, 2022 to Mar 31, 2023
- Individual RAUM · $68.2M to $56.6MMar 29, 2022 to Mar 31, 2023
- Pension RAUM · $3.6M to $3.6MMar 29, 2022 to Mar 31, 2023
- RAUM · $219M to $183MMar 29, 2022 to Mar 31, 2023
- Accounts · 421 to 174Mar 16, 2021 to Mar 29, 2022
- Corporate clients · 8 to 12Mar 16, 2021 to Mar 29, 2022
- HNW clients · 113 to 90Mar 16, 2021 to Mar 29, 2022
- Individual clients · 71 to 75Mar 16, 2021 to Mar 29, 2022
- Pension plan clients · 4 to 3Mar 16, 2021 to Mar 29, 2022
- Assets in custody · $18.0M to $18.5MMar 16, 2021 to Mar 29, 2022
- Employees · 5 to 7Mar 16, 2021 to Mar 29, 2022
- Discretionary RAUM · $192M to $219MMar 16, 2021 to Mar 29, 2022
- HNW RAUM · $127M to $125MMar 16, 2021 to Mar 29, 2022
- Individual RAUM · $37.7M to $68.2MMar 16, 2021 to Mar 29, 2022
- Pension RAUM · $9.2M to $3.6MMar 16, 2021 to Mar 29, 2022
- RAUM · $192M to $219MMar 16, 2021 to Mar 29, 2022
- Accounts · 415 to 421Jun 30, 2020 to Mar 16, 2021
- Corporate clients · 7 to 8Jun 30, 2020 to Mar 16, 2021
- HNW clients · 96 to 113Jun 30, 2020 to Mar 16, 2021
- Individual clients · 75 to 71Jun 30, 2020 to Mar 16, 2021
- Pension plan clients · 5 to 4Jun 30, 2020 to Mar 16, 2021
- Assets in custody · $16.0M to $18.0MJun 30, 2020 to Mar 16, 2021
- HQ city · NEW CANAAN to unsetJun 30, 2020 to Mar 16, 2021
- HQ state · CT to unsetJun 30, 2020 to Mar 16, 2021
- Other offices · 0 to 1Jun 30, 2020 to Mar 16, 2021
Signals
2 dated events
- N••••• • C•••••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $215.0M)May 2, 2025 · Left the SEC roster · derived
- S••••• S•••• N••••• left N••••• • C•••••• F•••••••• G••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-02-07)Mar 18, 2025 · Advisor changed firm · fact
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