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

D••• S••••• C•••••• M••••••••• L••

Other adviserWestport, ConnecticutCRD 157155SEC 801-77192websiteIAPD
Latest filing Jan 12, 2026
First filing on the tape Sep 22, 2012 · 22 filings
SEC status approved since Oct 3, 2012
RAUM
$1.7B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$826M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.7B as of Jan 12, 2026
Jan 30, 2013$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 12, 2026
Jan 30, 20130 then
Employees (5.A)4 as of Jan 12, 2026
Jan 30, 20134 then
Private funds: no history
RAUM +24% over the last fiscal year-24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
RAUM per advisor
$826MderivedRAUM 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
$27.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
60reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• E••••• C•••••Westport, CtOct 8, 201217 y0
J•••••• N••• H••••••Westport, CtOct 11, 201230 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• D••••• E••••• · Managing Member/Chief Compliance Officercontrol
        since 03/2009 · owns 25% to 50%
      • H••••••• J••••••• N••• · Managing Membercontrol
        since 03/2009 · owns 25% to 50%
      • C•••••• T•••• A•• · Member
        since 01/2023 · owns 5% to 10%
      • H••••••• G•••••• L•• · Member
        since 01/2023 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Westport, Ct · principal200
      Offices
      Schedule D 1.F, the 25 largest
      • Milford, CT1 employees
      • Rye, NY1 employees
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Jan 12, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $1B to $5B (247) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 68 to 60
        Jan 27, 2025 to Jan 12, 2026
      • Non-discretionary RAUM · $1.3B to $1.7B
        Jan 27, 2025 to Jan 12, 2026
      • RAUM · $1.3B to $1.7B
        Jan 27, 2025 to Jan 12, 2026
      • Accounts · 84 to 68
        Jan 11, 2024 to Jan 27, 2025
      • Financial planning clients · 51-100 to 51-100
        Jan 11, 2024 to Jan 27, 2025
      • Non-discretionary RAUM · $2.4B to $1.3B
        Jan 11, 2024 to Jan 27, 2025
      • RAUM · $2.4B to $1.3B
        Jan 11, 2024 to Jan 27, 2025
      • Accounts · 85 to 84
        Jan 13, 2023 to Jan 11, 2024
      • Employees · 2 to 4
        Jan 13, 2023 to Jan 11, 2024
      • Other offices · 1 to 2
        Jan 13, 2023 to Jan 11, 2024
      • Non-discretionary RAUM · $3.8B to $2.4B
        Jan 13, 2023 to Jan 11, 2024
      • RAUM · $3.8B to $2.4B
        Jan 13, 2023 to Jan 11, 2024
      • Accounts · 57 to 85
        Jan 6, 2022 to Jan 13, 2023
      • Advisory employees · 3 to 2
        Jan 6, 2022 to Jan 13, 2023
      • BD registered reps · 3 to 2
        Jan 6, 2022 to Jan 13, 2023
      • Employees · 3 to 2
        Jan 6, 2022 to Jan 13, 2023
      • State-registered IARs · 3 to 2
        Jan 6, 2022 to Jan 13, 2023
      • Discretionary RAUM · $2.6B to $0
        Jan 6, 2022 to Jan 13, 2023
      • Non-discretionary RAUM · $0 to $3.8B
        Jan 6, 2022 to Jan 13, 2023
      • RAUM · $2.6B to $3.8B
        Jan 6, 2022 to Jan 13, 2023
      • Accounts · 49 to 57
        Jan 28, 2021 to Jan 6, 2022
      • Advisory employees · 4 to 3
        Jan 28, 2021 to Jan 6, 2022
      • BD registered reps · 4 to 3
        Jan 28, 2021 to Jan 6, 2022
      • Employees · 4 to 3
        Jan 28, 2021 to Jan 6, 2022
      • Financial planning clients · 26-50 to 51-100
        Jan 28, 2021 to Jan 6, 2022
      • State-registered IARs · 4 to 3
        Jan 28, 2021 to Jan 6, 2022
      • Discretionary RAUM · $721M to $2.6B
        Jan 28, 2021 to Jan 6, 2022
      • Non-discretionary RAUM · $2.2B to $0
        Jan 28, 2021 to Jan 6, 2022
      • RAUM · $2.9B to $2.6B
        Jan 28, 2021 to Jan 6, 2022
      • Accounts · 47 to 49
        Feb 3, 2020 to Jan 28, 2021
      • Financial planning clients · 51-100 to 26-50
        Feb 3, 2020 to Jan 28, 2021
      • Discretionary RAUM · $283M to $721M
        Feb 3, 2020 to Jan 28, 2021
      • Non-discretionary RAUM · $1.8B to $2.2B
        Feb 3, 2020 to Jan 28, 2021
      • RAUM · $2.1B to $2.9B
        Feb 3, 2020 to Jan 28, 2021
      • Related broker-dealer · true to false
        Feb 3, 2020 to Jan 28, 2021
      • Accounts · 53 to 47
        Mar 6, 2019 to Feb 3, 2020
      • Financial planning clients · unset to 51-100
        Mar 6, 2019 to Feb 3, 2020
      • Discretionary RAUM · $300M to $283M
        Mar 6, 2019 to Feb 3, 2020
      • Non-discretionary RAUM · $2.0B to $1.8B
        Mar 6, 2019 to Feb 3, 2020
      • RAUM · $2.3B to $2.1B
        Mar 6, 2019 to Feb 3, 2020
      Signals
      7 dated events
      • D••• S••••• C•••••• M••••••••• L•• reported RAUM $1.3B, down 43% from $2.4B (2024-01-11 to 2025-01-27)
        Jan 27, 2025 · RAUM change · derived
      • D••• S••••• C•••••• M••••••••• L•• reported RAUM $2.4B, down 38% from $3.8B (2023-01-13 to 2024-01-11)
        Jan 11, 2024 · RAUM change · derived
      • Daniel John Frontero (Managing Member) no longer on Schedule A of D••• S••••• C•••••• M••••••••• L•• (listed 2023-01-13, absent 2024-01-11)
        Jan 11, 2024 · Control person left · inference
      • D••• S••••• C•••••• M••••••••• L•• reported RAUM $3.8B, up 43% from $2.6B (2022-01-06 to 2023-01-13)
        Jan 13, 2023 · RAUM change · derived
      • Gerard Patrick Kelly (Managing Member/Chief Compliance Officer) no longer on Schedule A of D••• S••••• C•••••• M••••••••• L•• (listed 2021-01-28, absent 2022-01-06)
        Jan 6, 2022 · Control person left · inference
      • D••• S••••• C•••••• M••••••••• L•• reported RAUM $2.9B, up 39% from $2.1B (2020-02-03 to 2021-01-28)
        Jan 28, 2021 · RAUM change · derived
      • D••• S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 22, 2012 · 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
      Website
      D•••S•••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-457-8258reportedpublic record, Form ADV, Jan 12, 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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $826Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026