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C•••••• R••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $105M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$105M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
100%
of RAUM, $105M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 158412 · SEC 801-135947 · 1 filingShow
CRD 158412SEC 801-135947First filing on the tape Apr 30, 2026, latest Apr 30, 2026SEC status approved since Apr 24, 2026IAPD
RAUM
$105M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$105M
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
1 filing and snapshots on the tape

Filed figures over time · the tape starts Apr 30, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $105M
HNW client RAUM: $84.5M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • 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
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$412,147derivedRAUM over accounts (5.F.2.f)
Discretionary
88%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
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 individuals, pension consulting, educational seminarsreportedItem 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)
  • 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

80% high-net-worth individuals, 20% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$84.5M80%
  • Individuals$20.6M20%
Individual clients
44reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
255reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% 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
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    J••• R••••• B••••••Certified Financial PlannerOld Saybrook, CtAug 9, 201121 y2
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• J•••• R••••• · Managing Member/Principal/Chief Compliance Officercontrol
      since 06/2011 · 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
    One filing, no change to show.
    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
    ••• Lockedreportedpublic record, Form ADV, Apr 30, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Apr 30, 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
    $105Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026

    Not yet on record: RAUM change, 1 year.