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

S••••• H••• C••••••• L••

Former SEC-registered adviserGuilford, ConnecticutCRD 155402SEC 801-71931IAPD
Latest filing Nov 16, 2015
First filing on the tape Mar 31, 2012 · 25 filings
RAUM
$110M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$128M as of Jan 13, 2015
Mar 31, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 13, 2015
Feb 8, 20133 then
Employees (5.A)5 as of Jan 13, 2015
Feb 8, 20137 then
Private funds: no history
RAUM -36% over the last fiscal year-9.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Nov 16, 2015; every figure names its basis
RAUM per advisor
$36.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$210,881derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
522reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N••••• P••••• J••• · 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
    • Accounts · 518 to 522
      Feb 25, 2015 to Oct 9, 2015
    • Discretionary RAUM · $107M to $90.1M
      Feb 25, 2015 to Oct 9, 2015
    • Non-discretionary RAUM · $21.0M to $20.0M
      Feb 25, 2015 to Oct 9, 2015
    • RAUM · $128M to $110M
      Feb 25, 2015 to Oct 9, 2015
    • Advisory employees · 2 to 3
      Jan 23, 2015 to Feb 25, 2015
    • State-registered IARs · 2 to 3
      Jan 23, 2015 to Feb 25, 2015
    • Accounts · 227 to 518
      Oct 31, 2014 to Jan 13, 2015
    • Discretionary RAUM · $106M to $107M
      Oct 31, 2014 to Jan 13, 2015
    • Non-discretionary RAUM · $20.4M to $21.0M
      Oct 31, 2014 to Jan 13, 2015
    • RAUM · $127M to $128M
      Oct 31, 2014 to Jan 13, 2015
    • Accounts · 491 to 227
      Jul 9, 2014 to Oct 31, 2014
    • Discretionary RAUM · $106M to $106M
      Jul 9, 2014 to Oct 31, 2014
    • Non-discretionary RAUM · $20.7M to $20.4M
      Jul 9, 2014 to Oct 31, 2014
    • RAUM · $127M to $127M
      Jul 9, 2014 to Oct 31, 2014
    • Accounts · 389 to 491
      Jun 13, 2014 to Jul 9, 2014
    • Advisory employees · 4 to 2
      Jun 13, 2014 to Jul 9, 2014
    • Employees · 8 to 5
      Jun 13, 2014 to Jul 9, 2014
    • Insurance-licensed employees · 1 to 0
      Jun 13, 2014 to Jul 9, 2014
    • Financial planning clients · 0 to 1-10
      Jun 13, 2014 to Jul 9, 2014
    • State-registered IARs · 4 to 2
      Jun 13, 2014 to Jul 9, 2014
    • Discretionary RAUM · $156M to $106M
      Jun 13, 2014 to Jul 9, 2014
    • Non-discretionary RAUM · $21.9M to $20.7M
      Jun 13, 2014 to Jul 9, 2014
    • RAUM · $178M to $127M
      Jun 13, 2014 to Jul 9, 2014
    • Insurance-licensed employees · 0 to 1
      May 6, 2014 to May 8, 2014
    • Accounts · 905 to 389
      Mar 7, 2014 to May 6, 2014
    • Advisory employees · 3 to 4
      Mar 7, 2014 to May 6, 2014
    • Employees · 7 to 8
      Mar 7, 2014 to May 6, 2014
    • State-registered IARs · 3 to 4
      Mar 7, 2014 to May 6, 2014
    • Discretionary RAUM · $151M to $156M
      Mar 7, 2014 to May 6, 2014
    • Non-discretionary RAUM · $20.5M to $21.9M
      Mar 7, 2014 to May 6, 2014
    • RAUM · $172M to $178M
      Mar 7, 2014 to May 6, 2014
    • Accounts · 857 to 905
      Sep 17, 2013 to Feb 24, 2014
    • Discretionary RAUM · $140M to $151M
      Sep 17, 2013 to Feb 24, 2014
    • Non-discretionary RAUM · $25.3M to $20.5M
      Sep 17, 2013 to Feb 24, 2014
    • RAUM · $165M to $172M
      Sep 17, 2013 to Feb 24, 2014
    • Accounts · 745 to 857
      Apr 30, 2012 to Feb 8, 2013
    • Advisory employees · unset to 3.0
      Apr 30, 2012 to Feb 8, 2013
    • Employees · unset to 7.0
      Apr 30, 2012 to Feb 8, 2013
    • State-registered IARs · unset to 3.0
      Apr 30, 2012 to Feb 8, 2013
    • Discretionary RAUM · $148M to $140M
      Apr 30, 2012 to Feb 8, 2013
    Signals
    No event on the tape.
    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