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
N•••••••• W••••• P••••••• L••
Latest filing Dec 14, 2020
First filing on the tape Dec 9, 2013 · 33 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
99%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2020
Mar 29, 2016$713M then
HNW client RAUM$478M as of Mar 31, 2020
Mar 29, 2018$264M then
State-registered IARs (5.B.3)14 as of Mar 31, 2020
Mar 29, 201619 then
Employees (5.A)21 as of Mar 31, 2020
Mar 29, 201623 then
Private funds: no history
RAUM +12% over the last fiscal year+6.9% a year over threeIARs 14 to 14offices 5 to 2
Practice profile
derived from the filing of Dec 14, 2020; every figure names its basis
- RAUM per advisor
- $73.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 183derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $215,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.4%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 consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$529M52%
- High-net-worth individuals$478M47%
- Pension and profit-sharing plans$8.3M0.8%
- Banks and thrifts$6.9M0.7%
- Individual clients
- 2,421reported
- HNW clients
- 144reported
- Pension plan clients
- 29reported
- Charitable clients
- 0reported
- Accounts
- 4,751reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
Left, latest
- J•••••• S•••••• S•••••• to L•• F•••••••• L••Feb 27, 2021 · RIA to affiliated broker-dealer or bank
- J••••• A•••••• M••••• to P•••••••• W•••••Feb 10, 2021 · RIA to RIA
- M••• A••• S••• to L•• F•••••••• L••Feb 10, 2021 · RIA to affiliated broker-dealer or bank
- R••••• A•••••• L••••• to L•• F•••••••• L••Feb 8, 2021 · RIA to affiliated broker-dealer or bank
- T•••••• V••••• D•••••••• to P•••••••• W•••••Jan 8, 2021 · RIA to RIA
- A•• A••••• L••••• to P•••••••• W•••••Dec 14, 2020 · RIA to RIA
- L••••••• L• D•••• to P•••••••• W•••••Dec 14, 2020 · RIA to RIA
- L••••• C••••••• to L•• F•••••••• L••Sep 30, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• W•••••• F•••••• to L•• F•••••••• L••Sep 30, 2020 · Other
- T•••• W••••••••• P•••• to C••••••••• W••••• M••••••••• L••Aug 31, 2020 · RIA to RIA
- J•••• E••••• C••••• to L•• F•••••••• L••Oct 8, 2019 · RIA to affiliated broker-dealer or bank
- T•••• A••• M••••••••• to L•• F•••••••• L••Apr 1, 2019 · RIA to RIA
- J•••• A••• W••••• to W••••• W•••••Oct 1, 2018 · RIA to a newly registered adviser
- C•••• M•••••• D•••• to P•••••••• W•••••Jul 2, 2018 · RIA to RIA
- R••• R• M•••••••• to M•••••••• W••••• M••••••••• L••Feb 2, 2018 · Other
Joined, latest
- L••••••• L• D•••• from S•••••• N••••••• • C••••••• I•••••••••Sep 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- J•••••• S•••••• S•••••• from W••••••• R•••••••• M••••••••• I••Jan 22, 2018 · Other
- C•••• M•••••• D•••• from L•• F•••••••• L••Sep 22, 2017 · Other
- J•••• E••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 2, 2016 · Other
- L••••• C••••••• from M•• F•••••••• S•••••••• I•••Nov 30, 2015 · Other
- M•••••• W•••••• F•••••• from M•• F•••••••• S•••••••• I•••Nov 30, 2015 · Other
- A•• A••••• L••••• from P••• I••••••••• L••Apr 15, 2015 · Other
- R••• R• M•••••••• from S•••••• W••••• P•••••••• L••Feb 3, 2015 · Other
- M••• A••• S••• from S•••••• W••••• P•••••••• L••Feb 3, 2015 · Other
- S••••• L•••••• M•••• from S•••••• W••••• P•••••••• L••Feb 3, 2015 · Other
- D•••••• A• K•••••• from L•• F•••••••• L••Dec 8, 2014 · Other
- L•••• C•••• G•••• from M•• F•••••••• S•••••••• I•••Jun 19, 2014 · Other
- K•••• F•••••• S••••••• from W•••• F•••• A•••••••Jun 19, 2014 · Other
- T•••••• V••••• D•••••••• from L•• F•••••••• L••Jun 9, 2014 · Other
- J••••• A•••••• M••••• from L•• F•••••••• L••Jun 9, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Feb 8, 2021 · West Hartford, Ct
- 2 left for P•••••••• W•••••Dec 14, 2020 · Old Saybrook, Ct
- 2 left for L•• F•••••••• L••Sep 30, 2020 · West Hartford, Ct
- 2 joined from L•• F•••••••• L••Sep 7, 2016 · West Hartford, Ct
- 2 joined from M•• F•••••••• S•••••••• I•••Nov 30, 2015 · Shelton, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• R•••••• A•••••• · Managing Membercontrolsince 09/2009 · owns 50% to 75%
- S••••••• J••••••• S•••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- D••••••••• T••••••• V••••• · Ownersince 10/2016 · owns 25% to 50% of I•••••••• P•••••••• L••
- M•••••• R••••••• A••• · Ownersince 10/2016 · owns 25% to 50% of I•••••••• P•••••••• L••
- M•••••• J•••••• A•••••• · Ownersince 10/2016 · owns 25% to 50% of I•••••••• P•••••••• L••
Entity owners
- I•••••••• P•••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Old Saybrook, CT4 employees
- Shelton, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 2,701 to 4,751Mar 29, 2019 to Mar 31, 2020
- Advisory employees · 13 to 15Mar 29, 2019 to Mar 31, 2020
- HNW clients · 43 to 144Mar 29, 2019 to Mar 31, 2020
- Individual clients · 2,641 to 2,421Mar 29, 2019 to Mar 31, 2020
- Pension plan clients · 16 to 29Mar 29, 2019 to Mar 31, 2020
- Employees · 18 to 21Mar 29, 2019 to Mar 31, 2020
- Other offices · 5 to 2Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $533M to $616MMar 29, 2019 to Mar 31, 2020
- HNW RAUM · $329M to $478MMar 29, 2019 to Mar 31, 2020
- Individual RAUM · $574M to $529MMar 29, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $381M to $407MMar 29, 2019 to Mar 31, 2020
- Pension RAUM · $7.5M to $8.3MMar 29, 2019 to Mar 31, 2020
- RAUM · $915M to $1.0BMar 29, 2019 to Mar 31, 2020
- Accounts · 5,161 to 2,701Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 17 to 13Mar 29, 2018 to Mar 29, 2019
- BD registered reps · 17 to 14Mar 29, 2018 to Mar 29, 2019
- HNW clients · 30 to 43Mar 29, 2018 to Mar 29, 2019
- Individual clients · 2,748 to 2,641Mar 29, 2018 to Mar 29, 2019
- Pension plan clients · 13 to 16Mar 29, 2018 to Mar 29, 2019
- State-registered IARs · 17 to 14Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $670M to $533MMar 29, 2018 to Mar 29, 2019
- HNW RAUM · $264M to $329MMar 29, 2018 to Mar 29, 2019
- Individual RAUM · $790M to $574MMar 29, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $407M to $381MMar 29, 2018 to Mar 29, 2019
- Pension RAUM · $7.0M to $7.5MMar 29, 2018 to Mar 29, 2019
- RAUM · $1.1B to $915MMar 29, 2018 to Mar 29, 2019
- Accounts · 2,336 to 5,161Jan 22, 2018 to Mar 29, 2018
- Advisory employees · 18 to 17Jan 22, 2018 to Mar 29, 2018
- BD registered reps · 18 to 17Jan 22, 2018 to Mar 29, 2018
- Charity clients · unset to 0.0Jan 22, 2018 to Mar 29, 2018
- Corporate clients · unset to 0.0Jan 22, 2018 to Mar 29, 2018
- HNW clients · unset to 30.0Jan 22, 2018 to Mar 29, 2018
- Individual clients · unset to 2748.0Jan 22, 2018 to Mar 29, 2018
- Pension plan clients · unset to 13.0Jan 22, 2018 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Jan 22, 2018 to Mar 29, 2018
- State-registered IARs · 18 to 17Jan 22, 2018 to Mar 29, 2018
- Discretionary RAUM · $484M to $670MJan 22, 2018 to Mar 29, 2018
- HNW RAUM · unset to 264383194.0Jan 22, 2018 to Mar 29, 2018
- Individual RAUM · unset to 790340980.0Jan 22, 2018 to Mar 29, 2018
- Non-discretionary RAUM · $354M to $407MJan 22, 2018 to Mar 29, 2018
Signals
2 dated events
- N•••••••• W••••• P••••••• L•• reported RAUM $1.1B, up 29% from $838.1M (2018-01-22 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- N•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Dec 9, 2013 · 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