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
C••••••••• W••••• M••••••••• L••
Latest filing May 8, 2026
First filing on the tape Jan 17, 2012 · 66 filings
SEC status approved since Feb 3, 2012
RAUM
$4.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$4.3B individuals and HNW
Advisors
50
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
74
46 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$4.5B as of May 8, 2026
Mar 26, 2013$241M then
HNW client RAUM$4.1B as of May 8, 2026
Mar 12, 2018$448M then
State-registered IARs (5.B.3)50 as of May 8, 2026
Mar 26, 20136 then
Employees (5.A)74 as of May 8, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +21% over the last fiscal year+28% a year over threeIARs 44 to 50offices 0 to 1
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $846,910derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 25.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $3.3B, 2,783 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.1B91%
- Individuals$205M4.6%
- Corporations and businesses$119M2.7%
- Charitable organizations$83.4M1.9%
- State and municipal entities$1.3M0.0%
- Individual clients
- 473reported
- HNW clients
- 830reported
- Pension plan clients
- n/areported
- Charitable clients
- 182reported
- Accounts
- 5,287reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.3B for 2,783 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
50 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• C••••••••• L••••Certified Financial Planner | Farmington, Ct | Oct 28, 2010 | 25 y | 3 |
| D•••• M•••••• H•••••••Certified Financial Planner | Farmington, Ct | Oct 28, 2010 | 34 y | 5 |
| J•••••• F••••••• S••••••Certified Financial Planner | Farmington, Ct | Dec 7, 2011 | 22 y | 3 |
| M•••••• A•••••• T•••••Personal Financial Specialist | Farmington, Ct | Jun 3, 2013 | 24 y | 2 |
| K••••••• M• C•••••••••Personal Financial Specialist | Farmington, Ct | Jun 3, 2013 | 18 y | 1 |
| M•••• A•••• T••••Certified Financial Planner | Farmington, Ct | Jun 22, 2017 | 15 y | 1 |
| L•••• M••••• F•••••••••Certified Financial Planner | Farmington, Ct | Jan 16, 2018 | 13 y | 0 |
| D••••• M••••• B•••••Certified Financial Planner | Farmington, Ct | Jun 11, 2019 | 13 y | 1 |
| J••••••• D••••••• B••••Certified Financial Planner | Farmington, Ct | Jun 18, 2019 | 28 y | 2 |
| J••• J•••• S••••••Certified Financial Planner | Farmington, Ct | Jul 16, 2019 | 14 y | 3 |
| M•••••• D••••• F••••••••Certified Financial Planner | Farmington, Ct | Sep 10, 2019 | 14 y | 2 |
| W•••••• P•••••• H••••••Certified Financial Planner | Farmington, Ct | Oct 25, 2019 | 11 y | 0 |
| A•••••• D••••••Chartered Financial Consultant | Farmington, Ct | Sep 16, 2020 | 34 y | 3 |
| K•••• B•••••••Certified Financial Planner | Farmington, Ct | Feb 11, 2021 | 11 y | 0 |
| E••• F•••••• N••••• | Farmington, Ct | Feb 26, 2021 | 10 y | 0 |
| R•••••• A•••••• P•••••••••Certified Financial Planner | Farmington, Ct | Mar 24, 2021 | 13 y | 0 |
| S••••• M•••••• D•••••Certified Financial Planner | Farmington, Ct | Dec 7, 2021 | 10 y | 0 |
| C••••••••• J•••• W•••••Certified Financial Planner | Farmington, Ct | Dec 10, 2021 | 14 y | 0 |
| P•••••• F•••••• S•••••••Certified Financial Planner | Farmington, Ct | Jan 20, 2022 | 13 y | 0 |
| J•••• L•••• I•••••Certified Financial Planner | Farmington, Ct | Feb 18, 2022 | 12 y | 0 |
| M•••••• J••••• B••••••••Certified Financial Planner | Farmington, Ct | Feb 21, 2022 | 14 y | 0 |
| M••••• C•••••••Certified Financial Planner | Farmington, Ct | Feb 22, 2022 | 10 y | 1 |
| Z•••••• C•••••• B•••••••••Certified Financial Planner | Farmington, Ct | Jul 28, 2022 | 10 y | 1 |
| A•••••••• R••••• R•••••• | Farmington, Ct | Feb 7, 2023 | 13 y | 1 |
| B•••••• F•••••• F•••••••••Certified Financial Planner | Farmington, Ct | Feb 8, 2023 | 13 y | 1 |
| J••••• E••••• S••••••Chartered Financial Analyst | Farmington, Ct | Mar 30, 2023 | 14 y | 1 |
| C•••••• L••• O••••Certified Financial Planner | Farmington, Ct | May 4, 2023 | 22 y | 6 |
| M•• R••• S••••••••Certified Financial Planner | Farmington, Ct | Oct 10, 2023 | 13 y | 0 |
| J••• W••••• | Farmington, Ct | Oct 12, 2023 | 13 y | 0 |
| R•••••• A••• R••••Certified Financial Planner | Farmington, Ct | Nov 22, 2023 | 16 y | 4 |
| J••• M•••••• R•••Certified Financial Planner | Farmington, Ct | May 20, 2024 | 10 y | 0 |
| J•••• A• R••••Chartered Financial Analyst | Farmington, Ct | Dec 5, 2024 | 10 y | 0 |
| S••• G•••• G••••• | Farmington, Ct | Jan 19, 2025 | 13 y | 0 |
| S•••••• B••••••• | Farmington, Ct | Jan 29, 2025 | 10 y | 0 |
| J••••• K••••• | Farmington, Ct | May 9, 2025 | 16 y | 0 |
| M••••••• M•••••• P••••••Certified Financial Planner | Farmington, Ct | May 16, 2025 | 35 y | 0 |
| D••••••• M•••• T••• | Farmington, Ct | Aug 30, 2025 | 12 y | 0 |
| P•••••• S••••••• | Farmington, Ct | Sep 2, 2025 | 20 y | 0 |
| B••••••• R•• | Farmington, Ct | Sep 3, 2025 | 11 y | 0 |
| J••• R•••• | Farmington, Ct | Sep 8, 2025 | 11 y | 0 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months2 left in 90 days1 joined in 90 daysdeparture rate 6.0% of current headcount6 left over 36 months
Left, latest
- L•••• L••••••• to T••••••• W•••••• L••Aug 3, 2026 · RIA to a state-registered adviser
- S•••• C•••••••• R•••• to T•• F•••••••• M••••••••• I••Jul 8, 2026 · RIA to RIA
- E•••••••• R•••••• to C••••••• P•••••••Apr 27, 2026 · RIA to RIA
- E•••• R•••••• W••• to J•••••• N• M•••••• C•• L••May 27, 2025 · RIA to RIA
- N•••••• G••• to B••••••• J•••• L••May 1, 2025 · RIA to RIA
- W•••••• W••••• L••••• to E•••••• F•••••••• E••••••Jan 17, 2024 · RIA to RIA
- T••••• K••• to K•• I••••••••• S••••••• L••Aug 16, 2023 · RIA to affiliated broker-dealer or bank
- L•••• S•••••••• to S••• F•••••••• D•••••• I••Jan 23, 2023 · Other
- E•••••••• A••• D••••••• to P•••••• A•••••• G••••• L••Aug 5, 2022 · RIA to affiliated broker-dealer or bank
- P•••••• M••••• to B•• P•••••••• L••Sep 8, 2021 · RIA to RIA
- T•••••• J••• R•••••• to C••••• A••••••• L••May 7, 2021 · RIA to affiliated broker-dealer or bank
- T•••• W••••••••• P•••• to L•• F•••••••• L••May 5, 2021 · RIA to affiliated broker-dealer or bank
- K•••• A•• K•••• to M••• W••• L••• F•••••••• P•••••••• L••May 4, 2017 · Other
- P••••••• C•••• K••• to K••• F•••••••• P•••••••Nov 12, 2015 · Other
Joined, latest
- J••••• M•••••• from A••••••••• F•••••••• S•••••••• L••Aug 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••• D•••• C••••• from F•••• P••••••• W•••••• L••Mar 30, 2026 · RIA to RIA
- B•••••• T••••• C•••• from C••••••••• F•••••••• N••••••Sep 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••••• T••••• C••••• J• from C••••••••• F•••••••• N••••••Sep 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- L•••• L••••••• from L•• F•••••••• L••Jun 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• R•••••• from F•••• P••••••• W•••••• L••Feb 20, 2025 · RIA to RIA
- R•••••• A••• R•••• from R•• W••••• P•••••••Nov 22, 2023 · RIA to RIA
- C•••••• L••• O•••• from P••••••• U••••• A•••••••• I•••May 4, 2023 · RIA to RIA
- J••••• E••••• S•••••• from A••••••••• F•••••••• S•••••••• L••Mar 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- B•••••• F•••••• F••••••••• from N•• E•••••• G•••• W••••• A•••••••• I•••Feb 8, 2023 · RIA to RIA
- A•••••••• R••••• R•••••• from N•• E•••••• G•••• W••••• A•••••••• I•••Feb 7, 2023 · RIA to RIA
- T••••• K••• from C••••••••• F•••••••• N••••••Aug 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• C•••••• B••••••••• from C••••••••• F•••••••• N••••••Jul 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- L•••• S•••••••• from S••• F•••••••• D•••••• I••Jun 3, 2022 · Other
- M••••• C••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Feb 22, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•• E•••••• G•••• W••••• A•••••••• I•••Dec 31, 2022 · Hartford, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••• D•••• · Chief Compliance Officer Officercontrolsince 03/2026 · owns less than 5%
- G•••••••• P••••• P• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- H•••••••• D••••• M•••••• · Partnercontrolsince 01/2011 · owns 10% to 25%
- L••••• K••••• C••••••••• · Presidentcontrolsince 10/2010 · owns 50% to 75%
- N•••••• E•••• F•••••• · Chief Financial Officercontrolsince 01/2025 · owns less than 5%
- T•••••• M••••••• A•••••• · Partnercontrolsince 06/2013 · owns 5% to 10%
- D••••••• A•••••• · Partnersince 09/2020 · owns less than 5%
- S••••••• J••• · Partnersince 01/2026 · owns less than 5%
- S••••••• J••••••• F••••••• · Partnersince 01/2020 · owns less than 5%
- S••••••• J•••••• E••••• · Chief Investment Officersince 01/2026 · owns less than 5%
- T••••• M••••• A•••• · Partnersince 05/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Farmington, Ct · principal | 50 | 9 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 8, 2026T•••••• M••••••• A•••••• (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-05-08peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 8, 2026C•••••• R•••• D•••• (CHIEF COMPLIANCE OFFICER OFFICER) appeared on Schedule A between the filings of 2024-03-28 and 2026-05-08peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 8, 2026N•••••• E•••• F•••••• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-03-28 and 2026-05-08peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 8, 2026G•••••••• P••••• P• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-28 and 2026-05-08peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,737 to 5,287Jan 8, 2026 to Mar 30, 2026
- Advisory employees · 40 to 46Jan 8, 2026 to Mar 30, 2026
- Advisory activities · 3 to 2Jan 8, 2026 to Mar 30, 2026
- Charity clients · 148 to 182Jan 8, 2026 to Mar 30, 2026
- HNW clients · 770 to 830Jan 8, 2026 to Mar 30, 2026
- Individual clients · 440 to 473Jan 8, 2026 to Mar 30, 2026
- Pooled vehicle clients · 0.0 to unsetJan 8, 2026 to Mar 30, 2026
- Assets in custody · $183M to $3.3BJan 8, 2026 to Mar 30, 2026
- Employees · 65 to 74Jan 8, 2026 to Mar 30, 2026
- State-registered IARs · 44 to 50Jan 8, 2026 to Mar 30, 2026
- Discretionary RAUM · $3.6B to $4.4BJan 8, 2026 to Mar 30, 2026
- HNW RAUM · $3.4B to $4.1BJan 8, 2026 to Mar 30, 2026
- Individual RAUM · $178M to $205MJan 8, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $69.5M to $74.5MJan 8, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · 0.0 to unsetJan 8, 2026 to Mar 30, 2026
- RAUM · $3.7B to $4.5BJan 8, 2026 to Mar 30, 2026
- Other offices · 0 to 1Mar 28, 2025 to Jan 8, 2026
- Accounts · 1,388 to 4,737Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 35 to 40Mar 28, 2024 to Mar 28, 2025
- Charity clients · 134 to 148Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 22 to 32Mar 28, 2024 to Mar 28, 2025
- HNW clients · 709 to 770Mar 28, 2024 to Mar 28, 2025
- Individual clients · 522 to 440Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $108M to $183MMar 28, 2024 to Mar 28, 2025
- Employees · 64 to 65Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 40 to 44Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.1B to $3.6BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $2.8B to $3.4BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $218M to $178MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $66.0M to $69.5MMar 28, 2024 to Mar 28, 2025
- RAUM · $3.2B to $3.7BMar 28, 2024 to Mar 28, 2025
- Accounts · 2,950 to 1,388Jan 17, 2024 to Mar 28, 2024
- Advisory employees · 47 to 35Jan 17, 2024 to Mar 28, 2024
- BD registered reps · 1 to 3Jan 17, 2024 to Mar 28, 2024
- Charity clients · 82 to 134Jan 17, 2024 to Mar 28, 2024
- Corporate clients · 18 to 22Jan 17, 2024 to Mar 28, 2024
- HNW clients · 521 to 709Jan 17, 2024 to Mar 28, 2024
- Individual clients · 611 to 522Jan 17, 2024 to Mar 28, 2024
- Pension plan clients · 36.0 to unsetJan 17, 2024 to Mar 28, 2024
Signals
14 dated events
- L•••• L••••••• left C••••••••• W••••• M••••••••• L•• for T••••••• W•••••• L•• (registered 2026-09-10)Aug 3, 2026 · a•••••• firm change · fact
- S•••• C•••••••• R•••• left C••••••••• W••••• M••••••••• L•• for T•• F•••••••• M••••••••• I•• (registered 2026-07-30)Jul 8, 2026 · a•••••• firm change · fact
- E•••••••• R•••••• left C••••••••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2026-08-07)Apr 27, 2026 · a•••••• firm change · fact
- E•••• R•••••• W••• left C••••••••• W••••• M••••••••• L•• for J•••••• N• M•••••• C•• L•• (registered 2025-09-24)May 27, 2025 · a•••••• firm change · fact
- N•••••• G••• left C••••••••• W••••• M••••••••• L•• for B••••••• J•••• L•• (registered 2025-06-03)May 1, 2025 · a•••••• firm change · fact
- C••••••••• W••••• M••••••••• L•• reported RAUM $3.2B, up 49% from $2.1B (2024-01-17 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- P P•••• Galloway (Chief Compliance Officer) appeared on Schedule A of C••••••••• W••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- W•••••• W••••• L••••• left C••••••••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2024-02-22)Jan 17, 2024 · a•••••• firm change · fact
- T••••• K••• left C••••••••• W••••• M••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2024-07-11)Aug 16, 2023 · a•••••• firm change · fact
- L•••• S•••••••• left C••••••••• W••••• M••••••••• L•• for S••• F•••••••• D•••••• I•• (registered 2023-01-20)Jan 23, 2023 · a•••••• firm change · fact
- 2 advisors left N•• E•••••• G•••• W••••• A•••••••• I••• (Hartford, CT) for C••••••••• W••••• M••••••••• L•• on the same dayDec 31, 2022 · Team lift-out · derived
- E•••••••• A••• D••••••• left C••••••••• W••••• M••••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2022-08-12)Aug 5, 2022 · a•••••• firm change · fact
- C••••••••• W••••• M••••••••• L•• reported RAUM $2.1B, up 35% from $1.6B (2021-03-10 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- C••••••••• W••••• M••••••••• L•• reported RAUM $1.6B, up 121% from $703.2M (2019-06-12 to 2020-03-27)Mar 27, 2020 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pca.st/5hj8v0u0reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-470-0290reportedpublic record, Form ADV, May 8, 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
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026