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
C•••• H••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 15, 2012 · 28 filings
SEC status approved since Nov 20, 2009
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$1.9B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
24
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.1B as of Mar 30, 2026
Mar 15, 2012$377M then
HNW client RAUM$1.7B as of Mar 30, 2026
Mar 7, 2018$527M then
State-registered IARs (5.B.3)15 as of Mar 30, 2026
Mar 11, 20132 then
Employees (5.A)24 as of Mar 30, 2026
Mar 11, 201311 then
Private funds1 as of Mar 30, 2026
Mar 15, 20121 then
RAUM +18% over the last fiscal year+25% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived3 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
- +5.5%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $426M, 287 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B84%
- Individuals$136M6.6%
- Corporations and businesses$76.2M3.7%
- Charitable organizations$49.8M2.4%
- Pooled investment vehicles$35.6M1.7%
- Pension and profit-sharing plans$31.5M1.5%
- Individual clients
- 333reported
- HNW clients
- 451reported
- Pension plan clients
- 7reported
- Charitable clients
- 9reported
- Accounts
- 1,865reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $426M for 287 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.91 fund_share=0.02 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• H•••• S••••••• | Dallas, Tx | Feb 16, 2010 | 32 y | 1 |
| M•••••• W•••••• S•••••Certified Financial Planner | Stamford, Ct | Jul 13, 2020 | 21 y | 2 |
| D••••• R•••• B••••• L•••••• | Stamford, Ct | Jul 14, 2020 | 45 y | 0 |
| I•• A•••••••• A•••••••• | Stamford, Ct | Jul 14, 2020 | 22 y | 1 |
| J••••• M•••••• R•••• | Stamford, Ct | Jul 14, 2020 | 29 y | 0 |
| S••••• E••••• S••• | Stamford, Ct | Jul 14, 2020 | 42 y | 1 |
| K•••••• S••••••• M••••• | Stamford, Ct | Jul 14, 2020 | 31 y | 4 |
| A•••• J••• K••••• | Stamford, Ct | Jul 14, 2020 | 26 y | 0 |
| J•• S••••• A•••••••• | Stamford, Ct | Jul 14, 2020 | 20 y | 1 |
| H••••• B••• | Stamford, Ct | Oct 7, 2021 | 29 y | 4 |
| J•••••• N••• C•••••• | Stamford, Ct | Feb 1, 2023 | 29 y | 1 |
| J•••• D••••• T••••••••• | Stamford, Ct | Feb 1, 2023 | 36 y | 1 |
| A•••••••• W•••••• M•••••• R•••••• | Stamford, Ct | Aug 2, 2023 | 16 y | 0 |
| R••••• C•••••• D••••••• | Wilton, Ct | Sep 26, 2024 | 43 y | 1 |
| S•••• M• B•••• | Stamford, Ct | Mar 7, 2025 | 30 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
- T•••••• O••• D••••••• to O••••••••• • C•• I•••Mar 13, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••• M• B•••• from F•••• P••••••• W•••••• L••Mar 7, 2025 · RIA to RIA
- R••••• C•••••• D••••••• from F••••• C•••••• M••••••••• I••Sep 26, 2024 · RIA to RIA
- J•••• D••••• T••••••••• from S••••••• A•••• M••••••••• I•••Feb 1, 2023 · RIA to RIA
- J•••••• N••• C•••••• from S••••••• A•••• M••••••••• I•••Feb 1, 2023 · RIA to RIA
- H••••• B••• from S••••••••• M••••••••• L••Oct 7, 2021 · RIA to RIA
- K•••••• S••••••• M••••• from M••••• S••••••Jul 14, 2020 · Wirehouse to independent RIA
- I•• A•••••••• A•••••••• from C•• C•••••• M••••••••• L••Jul 14, 2020 · Other
- J•• S••••• A•••••••• from M•••••• G•••• R•••••••Jul 14, 2020 · Other
- S••••• E••••• S••• from L••••• O•• A•••• M••••••••• L••Jul 14, 2020 · Other
- M•••••• W•••••• S••••• from S•••••• N••••••• • C••••••• I•••••••••Jul 13, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• H•••• S••••••• from G•••••• M••••••••• P•••••••• L•••Feb 16, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• A•••• M••••••••• I•••Mar 31, 2023 · New York, Ny
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• V•••• P•••••••• L••• | Hedge Fund | $28.1M | 17 | Mar 15, 2012 |
| D•••••••• E••••••• M•••••• C••••••• F••• L••no longer reported | Hedge Fund | $4.5M | 17 | Mar 30, 2021 |
| O•••••• G••••• O••••••• E•••••••• F••• L•no longer reported | Hedge Fund | $4.1M | 20 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• I••• A•••••••• · Chief Operations Officercontrolsince 12/2009 · owns 10% to 25%
- K•••••• A••••• J••• · Chief Executive Officercontrolsince 12/2009 · owns 50% to 75%
- L••••••• D••••• R••••• B••••• · Vice- Chairmancontrolsince 05/2010 · owns 10% to 25%
- A•••••••• D•••••• M•••• · Chief Compliance Officersince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
- O••••••• L••pooled vehicle sponsorn
- S••••••• V•••• P•••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 15 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wilton, CT1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,667 to 1,865Mar 27, 2025 to Mar 30, 2026
- Advisory employees · 19 to 18Mar 27, 2025 to Mar 30, 2026
- Charity clients · 7 to 9Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 20 to 18Mar 27, 2025 to Mar 30, 2026
- HNW clients · 416 to 451Mar 27, 2025 to Mar 30, 2026
- Individual clients · 327 to 333Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 6 to 7Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $400M to $426MMar 27, 2025 to Mar 30, 2026
- Employees · 26 to 24Mar 27, 2025 to Mar 30, 2026
- Private funds · 2 to 1Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $2.0BMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $1.4B to $1.7BMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $154M to $136MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.8M to $9.4MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $14.1M to $31.5MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $26.7M to $35.6MMar 27, 2025 to Mar 30, 2026
- RAUM · $1.7B to $2.1BMar 27, 2025 to Mar 30, 2026
- Accounts · 1,755 to 1,667Dec 11, 2024 to Mar 27, 2025
- Advisory employees · 14 to 19Dec 11, 2024 to Mar 27, 2025
- Corporate clients · 11 to 20Dec 11, 2024 to Mar 27, 2025
- HNW clients · 239 to 416Dec 11, 2024 to Mar 27, 2025
- Individual clients · 289 to 327Dec 11, 2024 to Mar 27, 2025
- Assets in custody · $394M to $400MDec 11, 2024 to Mar 27, 2025
- Employees · 19 to 26Dec 11, 2024 to Mar 27, 2025
- Insurance-licensed employees · 13 to 0Dec 11, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 251-500Dec 11, 2024 to Mar 27, 2025
- State-registered IARs · 0 to 15Dec 11, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.5B to $1.7BDec 11, 2024 to Mar 27, 2025
- HNW RAUM · $1.2B to $1.4BDec 11, 2024 to Mar 27, 2025
- Individual RAUM · $165M to $154MDec 11, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.0M to $4.8MDec 11, 2024 to Mar 27, 2025
- Pension RAUM · $23.7M to $14.1MDec 11, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $23.2M to $26.7MDec 11, 2024 to Mar 27, 2025
- RAUM · $1.5B to $1.7BDec 11, 2024 to Mar 27, 2025
- Other offices · 1 to 2Mar 28, 2024 to Dec 11, 2024
- Accounts · 1,207 to 1,755Mar 31, 2023 to Mar 28, 2024
- Advisory activities · 4 to 5Mar 31, 2023 to Mar 28, 2024
- Charity clients · 13 to 7Mar 31, 2023 to Mar 28, 2024
- Corporate clients · unset to 11.0Mar 31, 2023 to Mar 28, 2024
- HNW clients · 259 to 239Mar 31, 2023 to Mar 28, 2024
Signals
6 dated events
- C•••• H••••• A•••• M••••••••• L•• reported 15 state-registered advisory representatives, up from 0 (2024-12-11 to 2025-03-27)Mar 27, 2025 · Advisor headcount change · derived
- C•••• H••••• A•••• M••••••••• L•• reported 0 state-registered advisory representatives, down from 12 (2023-03-31 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- C•••• H••••• A•••• M••••••••• L•• reported RAUM $1.5B, up 40% from $1.0B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- 2 advisors left S••••••• A•••• M••••••••• I••• (New York, NY) for C•••• H••••• A•••• M••••••••• L•• on the same dayMar 31, 2023 · Team lift-out · derived
- T•••••• O••• D••••••• left C•••• H••••• A•••• M••••••••• L•• for O••••••••• • C•• I••• (registered 2024-05-09)Mar 13, 2023 · Advisor changed firm · fact
- C•••• H••••• A•••• M••••••••• L•• reported RAUM $1.2B, up 28% from $920.5M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
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
- Website
- C••••H•••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-867-7310reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026