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

C••• W••••• M•••••••••

Former SEC-registered adviserEast Haven, ConnecticutCRD 157855SEC 801-110644IAPD
Legal name C••• H•••••••• L••
Latest filing Feb 24, 2021
First filing on the tape May 16, 2017 · 15 filings
RAUM
$25.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$23.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$25.0M as of Feb 24, 2021
Mar 2, 2018$137M then
HNW client RAUM$23.5M as of Feb 24, 2021
Mar 2, 2018$42.9M then
State-registered IARs (5.B.3)1 as of Feb 24, 2021
Mar 2, 20183 then
Employees (5.A)1 as of Feb 24, 2021
Mar 2, 20184 then
Private funds: no history
RAUM -86% over the last fiscal year-43% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Feb 24, 2021; every figure names its basis
RAUM per advisor
$25.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.8MderivedHNW RAUM over HNW clients
Average account
$832,830derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-86%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
-97%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$191,534, 6 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$23.5M94%
  • Pension and profit-sharing plans$1.4M5.4%
  • Individuals$96,3900.4%
Individual clients
10reported
HNW clients
2reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
30reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$191,534 for 6 clientsreported
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
    • A••••• C••••••••• •••• · Managing Member/Chief Compliance Officercontrol
      since 05/2011 · owns 75% or more
    • B••••••••• J•••• R••••• · Membercontrol
      since 12/2011 · owns 10% to 25%
    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 · 631 to 30
      Sep 3, 2020 to Feb 24, 2021
    • Advisory employees · 3 to 1
      Sep 3, 2020 to Feb 24, 2021
    • Corporate clients · 3.0 to unset
      Sep 3, 2020 to Feb 24, 2021
    • HNW clients · 21 to 2
      Sep 3, 2020 to Feb 24, 2021
    • Individual clients · 370 to 10
      Sep 3, 2020 to Feb 24, 2021
    • Pension plan clients · 29 to 2
      Sep 3, 2020 to Feb 24, 2021
    • Assets in custody · $4.5M to $191,534
      Sep 3, 2020 to Feb 24, 2021
    • Employees · 6 to 1
      Sep 3, 2020 to Feb 24, 2021
    • State-registered IARs · 3 to 1
      Sep 3, 2020 to Feb 24, 2021
    • Discretionary RAUM · $181M to $25.0M
      Sep 3, 2020 to Feb 24, 2021
    • HNW RAUM · $68.1M to $23.5M
      Sep 3, 2020 to Feb 24, 2021
    • Individual RAUM · $35.2M to $96,390
      Sep 3, 2020 to Feb 24, 2021
    • Non-discretionary RAUM · $583,853 to $0
      Sep 3, 2020 to Feb 24, 2021
    • Pension RAUM · $51.2M to $1.4M
      Sep 3, 2020 to Feb 24, 2021
    • RAUM · $182M to $25.0M
      Sep 3, 2020 to Feb 24, 2021
    • Accounts · 498 to 631
      Sep 18, 2019 to Mar 3, 2020
    • Advisory employees · 4 to 3
      Sep 18, 2019 to Mar 3, 2020
    • Corporate clients · 4 to 3
      Sep 18, 2019 to Mar 3, 2020
    • HNW clients · 13 to 21
      Sep 18, 2019 to Mar 3, 2020
    • Individual clients · 260 to 370
      Sep 18, 2019 to Mar 3, 2020
    • Pension plan clients · 31 to 29
      Sep 18, 2019 to Mar 3, 2020
    • Assets in custody · unset to 4474707.0
      Sep 18, 2019 to Mar 3, 2020
    • Custody of client assets · false to true
      Sep 18, 2019 to Mar 3, 2020
    • State-registered IARs · 4 to 3
      Sep 18, 2019 to Mar 3, 2020
    • Discretionary RAUM · $134M to $181M
      Sep 18, 2019 to Mar 3, 2020
    • HNW RAUM · $48.4M to $68.1M
      Sep 18, 2019 to Mar 3, 2020
    • Individual RAUM · $37.4M to $35.2M
      Sep 18, 2019 to Mar 3, 2020
    • Non-discretionary RAUM · $0 to $583,853
      Sep 18, 2019 to Mar 3, 2020
    • Pension RAUM · $37.9M to $51.2M
      Sep 18, 2019 to Mar 3, 2020
    • RAUM · $134M to $182M
      Sep 18, 2019 to Mar 3, 2020
    • Accounts · 520 to 498
      Jul 25, 2018 to Mar 6, 2019
    • Advisory employees · 3 to 4
      Jul 25, 2018 to Mar 6, 2019
    • Corporate clients · 5 to 4
      Jul 25, 2018 to Mar 6, 2019
    • HNW clients · 9 to 13
      Jul 25, 2018 to Mar 6, 2019
    • Individual clients · 326 to 260
      Jul 25, 2018 to Mar 6, 2019
    • Pension plan clients · 22 to 31
      Jul 25, 2018 to Mar 6, 2019
    • Employees · 4 to 6
      Jul 25, 2018 to Mar 6, 2019
    • State-registered IARs · 3 to 4
      Jul 25, 2018 to Mar 6, 2019
    • Discretionary RAUM · $137M to $134M
      Jul 25, 2018 to Mar 6, 2019
    • HNW RAUM · $42.9M to $48.4M
      Jul 25, 2018 to Mar 6, 2019
    Signals
    2 dated events
    • C••• W••••• M••••••••• reported RAUM $25.0M, down 86% from $181.7M (2020-09-03 to 2021-02-24)
      Feb 24, 2021 · RAUM change · derived
    • C••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      May 16, 2017 · 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.
    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