DFX Intelligence

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T•• C•••••• M••••••••• I••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $112M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $112M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -14%
Private clients: 83%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-04-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-13.6%
RAUM, one year
RAUM $129M to $112M (-13.6%) on the Form ADV filed 7 Apr 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 155271 · SEC 801-123716 · 21 filingsShow

CRD 155271SEC 801-123716First filing on the tape Nov 16, 2011, latest Apr 7, 2026SEC status approved since Apr 15, 2022IAPD

RAUM

$112M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

83%

$92.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$112M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM -3.1% a year over three years · the tape starts Nov 16, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$112M as of Apr 7, 2026

Apr 18, 2012$39.0M then

HNW client RAUM$92.2M as of Apr 7, 2026

Mar 2, 2018$56.2M then

State-registered IARs (5.B.3)1 as of Apr 7, 2026

Apr 18, 20120 then

Employees (5.A)1 as of Apr 7, 2026

Jan 23, 20131 then

Private funds: no history

RAUM -14% over the last fiscal year-3.1% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 7, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.6MderivedHNW RAUM over HNW clients
Average account: $4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

83% high-net-worth individuals, 17% corporations and businesses, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$92.2M83%
Corporations and businesses$19.1M17%
Individuals$406,3320.4%

Individual clients: n/areported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 27reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 83% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
T•••••• A•••• M•••••	Stamford, Ct	Aug 6, 2019	16 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••• T••••••• A•••• · Managing Member/Chief Compliance Officercontrol
since 10/2010 · owns 75% or more

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

Discretionary RAUM · $129M to $112M
Mar 19, 2025 to Apr 7, 2026
HNW RAUM · $110M to $92.2M
Mar 19, 2025 to Apr 7, 2026
Individual RAUM · $372,818 to $406,332
Mar 19, 2025 to Apr 7, 2026
RAUM · $129M to $112M
Mar 19, 2025 to Apr 7, 2026
Accounts · 23 to 27
Mar 20, 2024 to Mar 19, 2025

Full history · 71 changes

Charity clients · 1.0 to unset
Mar 20, 2024 to Mar 19, 2025
Corporate clients · 7 to 9
Mar 20, 2024 to Mar 19, 2025
HNW clients · 13 to 14
Mar 20, 2024 to Mar 19, 2025
Financial planning clients · unset to
Mar 20, 2024 to Mar 19, 2025
HQ city · unset to
Mar 20, 2024 to Mar 19, 2025
HQ state · unset to
Mar 20, 2024 to Mar 19, 2025
Discretionary RAUM · $132M to $129M
Mar 20, 2024 to Mar 19, 2025
HNW RAUM · $73.9M to $110M
Mar 20, 2024 to Mar 19, 2025
Individual RAUM · $800,953 to $372,818
Mar 20, 2024 to Mar 19, 2025
RAUM · $132M to $129M
Mar 20, 2024 to Mar 19, 2025
Accounts · 31 to 23
Mar 21, 2023 to Mar 20, 2024
Charity clients · unset to 1.0
Mar 21, 2023 to Mar 20, 2024
Corporate clients · 15 to 7
Mar 21, 2023 to Mar 20, 2024
Discretionary RAUM · $123M to $132M
Mar 21, 2023 to Mar 20, 2024
HNW RAUM · $77.6M to $73.9M
Mar 21, 2023 to Mar 20, 2024
Individual RAUM · $501,722 to $800,953
Mar 21, 2023 to Mar 20, 2024
RAUM · $123M to $132M
Mar 21, 2023 to Mar 20, 2024
Accounts · 27 to 31
Apr 6, 2022 to Mar 21, 2023
HNW clients · 10 to 13
Apr 6, 2022 to Mar 21, 2023
Discretionary RAUM · $107M to $123M
Apr 6, 2022 to Mar 21, 2023
HNW RAUM · $61.1M to $77.6M
Apr 6, 2022 to Mar 21, 2023
Individual RAUM · $386,100 to $501,722
Apr 6, 2022 to Mar 21, 2023
RAUM · $107M to $123M
Apr 6, 2022 to Mar 21, 2023
Accounts · 47 to 27
Mar 25, 2019 to Mar 16, 2022
Corporate clients · 18 to 15
Mar 25, 2019 to Mar 16, 2022
HNW clients · 28 to 10
Mar 25, 2019 to Mar 16, 2022
Other offices · 1 to 0
Mar 25, 2019 to Mar 16, 2022
Discretionary RAUM · $80.6M to $107M
Mar 25, 2019 to Mar 16, 2022
HNW RAUM · $43.7M to $61.1M
Mar 25, 2019 to Mar 16, 2022
Individual RAUM · $46,254 to $386,100
Mar 25, 2019 to Mar 16, 2022
RAUM · $80.6M to $107M
Mar 25, 2019 to Mar 16, 2022
Accounts · 48 to 47
Mar 30, 2018 to Mar 18, 2019
Corporate clients · 19 to 18
Mar 30, 2018 to Mar 18, 2019
HNW clients · 27 to 28
Mar 30, 2018 to Mar 18, 2019
Discretionary RAUM · $126M to $80.6M
Mar 30, 2018 to Mar 18, 2019
HNW RAUM · $56.2M to $43.7M
Mar 30, 2018 to Mar 18, 2019
Individual RAUM · $267,551 to $46,254
Mar 30, 2018 to Mar 18, 2019
RAUM · $126M to $80.6M
Mar 30, 2018 to Mar 18, 2019
Accounts · 43 to 48
Mar 29, 2017 to Mar 2, 2018
Corporate clients · unset to 19.0
Mar 29, 2017 to Mar 2, 2018
HNW clients · unset to 27.0
Mar 29, 2017 to Mar 2, 2018
Other offices · unset to 1.0
Mar 29, 2017 to Mar 2, 2018
Discretionary RAUM · $124M to $126M
Mar 29, 2017 to Mar 2, 2018
HNW RAUM · unset to 56205353.0
Mar 29, 2017 to Mar 2, 2018
Individual RAUM · unset to 267551.0
Mar 29, 2017 to Mar 2, 2018
RAUM · $124M to $126M
Mar 29, 2017 to Mar 2, 2018
Accounts · 40 to 43
Mar 22, 2016 to Mar 29, 2017
Discretionary RAUM · $106M to $124M
Mar 22, 2016 to Mar 29, 2017
RAUM · $106M to $124M
Mar 22, 2016 to Mar 29, 2017
Accounts · 41 to 40
Jan 15, 2015 to Mar 22, 2016
Discretionary RAUM · $87.4M to $106M
Jan 15, 2015 to Mar 22, 2016
RAUM · $87.4M to $106M
Jan 15, 2015 to Mar 22, 2016
Accounts · 30 to 41
Sep 15, 2014 to Jan 15, 2015
Discretionary RAUM · $62.5M to $87.4M
Sep 15, 2014 to Jan 15, 2015
RAUM · $62.5M to $87.4M
Sep 15, 2014 to Jan 15, 2015
Accounts · 27 to 30
May 28, 2013 to Jan 9, 2014
Discretionary RAUM · $48.5M to $62.5M
May 28, 2013 to Jan 9, 2014
RAUM · $48.5M to $62.5M
May 28, 2013 to Jan 9, 2014
Accounts · 20 to 27
Apr 18, 2012 to Jan 23, 2013
Advisory employees · unset to 1.0
Apr 18, 2012 to Jan 23, 2013
Employees · unset to 1.0
Apr 18, 2012 to Jan 23, 2013
State-registered IARs · 0 to 1
Apr 18, 2012 to Jan 23, 2013
Discretionary RAUM · $39.0M to $48.5M
Apr 18, 2012 to Jan 23, 2013
RAUM · $39.0M to $48.5M
Apr 18, 2012 to Jan 23, 2013
Discretionary RAUM · $33.0M to $39.0M
Nov 16, 2011 to Apr 18, 2012
RAUM · $33.0M to $39.0M
Nov 16, 2011 to Apr 18, 2012

Signals

1 dated events

••• Locked
Mar 16, 2022 · First SEC registration · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 7, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $112Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026