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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••• F•••••••• G••••• L••
Latest filing Mar 3, 2026
First filing on the tape Jan 4, 2012 · 35 filings
SEC status approved since Jun 4, 2009
RAUM
$482M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$477M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$80.4M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$482M as of Mar 3, 2026
Jan 4, 2012$124M then
HNW client RAUM$377M as of Mar 3, 2026
Mar 23, 2018$138M then
State-registered IARs (5.B.3)7 as of Mar 3, 2026
Jan 4, 20120 then
Employees (5.A)12 as of Mar 3, 2026
Jan 15, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $80.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- High-net-worth individuals$377M78%
- Individuals$100.0M21%
- Charitable organizations$5.7M1.2%
- Individual clients
- 309reported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••• M•••• | Guilford, Ct | Jun 25, 2009 | 42 y | 2 |
| A•••••••• R••••• M•••• | Guilford, Ct | Mar 5, 2015 | 12 y | 0 |
| W•••••• H••••• L••••Certified Financial Planner | Guilford, Ct | Mar 4, 2016 | 32 y | 3 |
| B••••••• T••••• M•••• | Guilford, Ct | Jul 8, 2020 | 13 y | 0 |
| C•••••• J•••• D••••••• | Guilford, Ct | Aug 31, 2022 | 12 y | 0 |
| N••• B• L•••••• | Guilford, Ct | Oct 25, 2024 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- J•••• R• C•••• to M••••• G••••• A••••••• I•••Apr 14, 2026 · RIA to RIA
Joined, latest
- W•••••• H••••• L•••• from P••• A••••• S••••••••• L••Mar 4, 2016 · Other
- R••••• J••• M•••• from M••••• S••••••Jun 25, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••••• J••• · Managing Member/Chief Compliance Officercontrolsince 06/2009 · 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 |
|---|---|---|---|---|---|
| Guilford, Ct · principal | 6 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 459 to 438Jan 6, 2026 to Mar 3, 2026
- Advisory employees · 6 to 7Jan 6, 2026 to Mar 3, 2026
- Charity clients · 4.0 to unsetJan 6, 2026 to Mar 3, 2026
- HNW clients · 124 to 125Jan 6, 2026 to Mar 3, 2026
- Individual clients · 331 to 309Jan 6, 2026 to Mar 3, 2026
- Employees · 11 to 12Jan 6, 2026 to Mar 3, 2026
- Financial planning clients · 26-50 to 51-100Jan 6, 2026 to Mar 3, 2026
- State-registered IARs · 6 to 7Jan 6, 2026 to Mar 3, 2026
- Discretionary RAUM · $427M to $482MJan 6, 2026 to Mar 3, 2026
- HNW RAUM · $339M to $377MJan 6, 2026 to Mar 3, 2026
- Individual RAUM · $82.9M to $100.0MJan 6, 2026 to Mar 3, 2026
- RAUM · $427M to $482MJan 6, 2026 to Mar 3, 2026
- Financial planning clients · 26-50 to 26-50Mar 25, 2025 to Jun 6, 2025
- Accounts · 404 to 459Mar 12, 2024 to Mar 25, 2025
- Advisory employees · 5 to 6Mar 12, 2024 to Mar 25, 2025
- Advisory activities · 4 to 3Mar 12, 2024 to Mar 25, 2025
- Charity clients · 3 to 4Mar 12, 2024 to Mar 25, 2025
- HNW clients · 114 to 124Mar 12, 2024 to Mar 25, 2025
- Individual clients · 287 to 331Mar 12, 2024 to Mar 25, 2025
- Employees · 9 to 11Mar 12, 2024 to Mar 25, 2025
- State-registered IARs · 5 to 6Mar 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $373M to $427MMar 12, 2024 to Mar 25, 2025
- HNW RAUM · $291M to $339MMar 12, 2024 to Mar 25, 2025
- Individual RAUM · $77.4M to $82.9MMar 12, 2024 to Mar 25, 2025
- RAUM · $373M to $427MMar 12, 2024 to Mar 25, 2025
- Accounts · 353 to 404Oct 4, 2023 to Mar 12, 2024
- HNW clients · 98 to 114Oct 4, 2023 to Mar 12, 2024
- Individual clients · 252 to 287Oct 4, 2023 to Mar 12, 2024
- Employees · 8 to 9Oct 4, 2023 to Mar 12, 2024
- Discretionary RAUM · $332M to $373MOct 4, 2023 to Mar 12, 2024
- HNW RAUM · $247M to $291MOct 4, 2023 to Mar 12, 2024
- Individual RAUM · $81.7M to $77.4MOct 4, 2023 to Mar 12, 2024
- RAUM · $332M to $373MOct 4, 2023 to Mar 12, 2024
- Accounts · 339 to 353Mar 21, 2022 to Mar 8, 2023
- Advisory employees · 4 to 5Mar 21, 2022 to Mar 8, 2023
- HNW clients · 95 to 98Mar 21, 2022 to Mar 8, 2023
- Individual clients · 240 to 252Mar 21, 2022 to Mar 8, 2023
- Employees · 7 to 8Mar 21, 2022 to Mar 8, 2023
- State-registered IARs · 4 to 5Mar 21, 2022 to Mar 8, 2023
- Discretionary RAUM · $341M to $332MMar 21, 2022 to Mar 8, 2023
Signals
1 dated events
- J•••• R• C•••• left M•••• F•••••••• G••••• L•• for M••••• G••••• A••••••• I••• (registered 2026-04-28)Apr 14, 2026 · 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.
How to reach
public business contact points only, each with its source
- Business email
- alex.r.monte@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- alexandra.murawski@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- alyssa.rice@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gloria.amatrudo@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- joan.m.monte@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- madelyn.monte@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- martha.t.monte@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- william.h.leete@montefinancialgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-453-6851reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-218-1824reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1674880reportedpublic record, Form ADV, Sep 19, 2026
- Website
- M••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 19, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $80.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026