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

L•••••••• W••••• M••••••••• L••

Independent wealth managerMystic, ConnecticutCRD 155422SEC 801-132336websiteIAPD
Latest filing Mar 17, 2026
First filing on the tape Jun 27, 2025 · 3 filings
SEC status approved since Jun 30, 2025
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$228M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$28.5M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$228M as of Mar 17, 2026
Jun 27, 2025$214M then
HNW client RAUM$198M as of Mar 17, 2026
Jun 27, 2025$182M then
State-registered IARs (5.B.3)7 as of Mar 17, 2026
Jun 27, 20257 then
Employees (5.A)7 as of Mar 17, 2026
Jun 27, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 17, 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
$28.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$330,527derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individualsreportedItem 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
  • High-net-worth individuals$198M87%
  • Individuals$29.2M13%
Individual clients
240reported
HNW clients
117reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
689reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• C• H••••••••Certified Financial PlannerMystic, CtOct 29, 201020 y1
B•••• R•••• D••••••Greenwich, Ct Sep 18, 201722 y6
K••••••• S•••• S••••London Nov 5, 202110 y0
J••••• R••••• M•••••London Dec 9, 202110 y0
I•• H•••••••London Jun 22, 202311 y0
A•• L••• H••••••Certified Financial PlannerLondon Nov 12, 202427 y5
R••••• L••••••• W••••Mystic, Ct Nov 15, 202412 y0
R•••• A•••••••• L•••••••••Certified Financial PlannerLondon Jun 17, 202518 y2
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
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• R•••••• C• · Managing Member/Chief Compliance Officercontrol
      since 10/2010 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Mystic, Ct · principal810
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 778 to 689
      Sep 1, 2025 to Mar 17, 2026
    • HNW clients · 139 to 117
      Sep 1, 2025 to Mar 17, 2026
    • Individual clients · 288 to 240
      Sep 1, 2025 to Mar 17, 2026
    • Discretionary RAUM · $214M to $228M
      Sep 1, 2025 to Mar 17, 2026
    • HNW RAUM · $182M to $198M
      Sep 1, 2025 to Mar 17, 2026
    • Individual RAUM · $32.1M to $29.2M
      Sep 1, 2025 to Mar 17, 2026
    • RAUM · $214M to $228M
      Sep 1, 2025 to Mar 17, 2026
    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.
    How to reach
    public business contact points only, each with its source
    Website
    LWMWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    860-245-5078reportedpublic record, Form ADV, Mar 17, 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
    $28.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026