DFX Intelligence

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O••••••• W••••• A•••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $285M of regulatory assets across 2 registered advisors.

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

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $285M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +11%
Private clients: 100% of RAUM, $285M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 170827 · SEC 801-110788 · 17 filingsShow

CRD 170827SEC 801-110788First filing on the tape Jun 8, 2017, latest Feb 6, 2026SEC status approved since Jul 13, 2017IAPD

RAUM

$285M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$285M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$143M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$285M as of Feb 6, 2026

Mar 5, 2018$111M then

HNW client RAUM$225M as of Feb 6, 2026

Mar 5, 2018$56.4M then

State-registered IARs (5.B.3)2 as of Feb 6, 2026

Mar 5, 20182 then

Employees (5.A)3 as of Feb 6, 2026

Mar 5, 20183 then

Private funds: no history

RAUM +11% over the last fiscal year+10% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Feb 6, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 118derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $591,358derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program: $285MreportedItem 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

High-net-worth individuals$225M79%
Individuals$60.4M21%

Individual clients: 162reported
HNW clients: 74reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 482reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
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=2.0derived

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 departure Every arrival

Advisors registered through the firm

2 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
N••••••• Z••••••••Chartered Financial Consultant, Personal Financial Specialist	Wilton, Ct	Jul 31, 2014	25 y	0
T••••• J••• P•••	Wilton, Ct	Jul 31, 2014	23 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••• T•••••• J••• · Managing Partner And Chief Compliance Officercontrol
since 03/2014 · owns 50% to 75%
Z••••••••• N••••••• · Managing Partnercontrol
since 03/2014 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Wilton, Ct	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 470 to 482
Feb 27, 2025 to Feb 6, 2026
HNW clients · 66 to 74
Feb 27, 2025 to Feb 6, 2026
Individual clients · 167 to 162
Feb 27, 2025 to Feb 6, 2026
Discretionary RAUM · $258M to $285M
Feb 27, 2025 to Feb 6, 2026
HNW RAUM · $196M to $225M
Feb 27, 2025 to Feb 6, 2026

Full history · 78 changes

Individual RAUM · $61.4M to $60.4M
Feb 27, 2025 to Feb 6, 2026
RAUM · $258M to $285M
Feb 27, 2025 to Feb 6, 2026
Accounts · 439 to 470
Feb 16, 2024 to Feb 27, 2025
HNW clients · 61 to 66
Feb 16, 2024 to Feb 27, 2025
Individual clients · 161 to 167
Feb 16, 2024 to Feb 27, 2025
Financial planning clients · 0 to 0
Feb 16, 2024 to Feb 27, 2025
HQ city · unset to
Feb 16, 2024 to Feb 27, 2025
HQ state · unset to
Feb 16, 2024 to Feb 27, 2025
Other offices · 2 to 1
Feb 16, 2024 to Feb 27, 2025
Discretionary RAUM · $240M to $258M
Feb 16, 2024 to Feb 27, 2025
HNW RAUM · $180M to $196M
Feb 16, 2024 to Feb 27, 2025
Individual RAUM · $59.8M to $61.4M
Feb 16, 2024 to Feb 27, 2025
RAUM · $240M to $258M
Feb 16, 2024 to Feb 27, 2025
Accounts · 432 to 439
Mar 20, 2023 to Feb 16, 2024
HNW clients · 52 to 61
Mar 20, 2023 to Feb 16, 2024
Individual clients · 172 to 161
Mar 20, 2023 to Feb 16, 2024
Discretionary RAUM · $212M to $240M
Mar 20, 2023 to Feb 16, 2024
HNW RAUM · $149M to $180M
Mar 20, 2023 to Feb 16, 2024
Individual RAUM · $62.5M to $59.8M
Mar 20, 2023 to Feb 16, 2024
RAUM · $212M to $240M
Mar 20, 2023 to Feb 16, 2024
Accounts · 416 to 432
Feb 11, 2022 to Mar 20, 2023
HNW clients · 61 to 52
Feb 11, 2022 to Mar 20, 2023
Individual clients · 158 to 172
Feb 11, 2022 to Mar 20, 2023
Other offices · 1 to 2
Feb 11, 2022 to Mar 20, 2023
Discretionary RAUM · $231M to $212M
Feb 11, 2022 to Mar 20, 2023
HNW RAUM · $174M to $149M
Feb 11, 2022 to Mar 20, 2023
Individual RAUM · $57.0M to $62.5M
Feb 11, 2022 to Mar 20, 2023
RAUM · $231M to $212M
Feb 11, 2022 to Mar 20, 2023
Accounts · 367 to 416
Nov 8, 2021 to Feb 11, 2022
HNW clients · 51 to 61
Nov 8, 2021 to Feb 11, 2022
Individual clients · 151 to 158
Nov 8, 2021 to Feb 11, 2022
Discretionary RAUM · $165M to $231M
Nov 8, 2021 to Feb 11, 2022
HNW RAUM · $54.7M to $174M
Nov 8, 2021 to Feb 11, 2022
Individual RAUM · $110M to $57.0M
Nov 8, 2021 to Feb 11, 2022
RAUM · $165M to $231M
Nov 8, 2021 to Feb 11, 2022
Accounts · 336 to 367
Nov 6, 2020 to Feb 19, 2021
HNW clients · 44 to 51
Nov 6, 2020 to Feb 19, 2021
Individual clients · 146 to 151
Nov 6, 2020 to Feb 19, 2021
Discretionary RAUM · $137M to $165M
Nov 6, 2020 to Feb 19, 2021
HNW RAUM · $85.9M to $54.7M
Nov 6, 2020 to Feb 19, 2021
Individual RAUM · $50.9M to $110M
Nov 6, 2020 to Feb 19, 2021
RAUM · $137M to $165M
Nov 6, 2020 to Feb 19, 2021
Wrap assets (sponsor) · $9.1M to $0
Nov 6, 2020 to Feb 19, 2021
Accounts · 327 to 336
Mar 18, 2019 to Mar 21, 2020
HNW clients · 32 to 44
Mar 18, 2019 to Mar 21, 2020
Individual clients · 157 to 146
Mar 18, 2019 to Mar 21, 2020
Discretionary RAUM · $114M to $137M
Mar 18, 2019 to Mar 21, 2020
HNW RAUM · $59.7M to $85.9M
Mar 18, 2019 to Mar 21, 2020
Individual RAUM · $54.4M to $50.9M
Mar 18, 2019 to Mar 21, 2020
RAUM · $114M to $137M
Mar 18, 2019 to Mar 21, 2020
Wrap assets (sponsor) · $0 to $9.1M
Mar 18, 2019 to Mar 21, 2020
Accounts · 311 to 327
Dec 5, 2018 to Mar 18, 2019
HNW clients · 30 to 32
Dec 5, 2018 to Mar 18, 2019
Individual clients · 152 to 157
Dec 5, 2018 to Mar 18, 2019
Discretionary RAUM · $111M to $114M
Dec 5, 2018 to Mar 18, 2019
HNW RAUM · $54.9M to $59.7M
Dec 5, 2018 to Mar 18, 2019
Individual RAUM · $56.4M to $54.4M
Dec 5, 2018 to Mar 18, 2019
RAUM · $111M to $114M
Dec 5, 2018 to Mar 18, 2019
HNW clients · 152 to 30
Mar 5, 2018 to Mar 12, 2018
Individual clients · 30 to 152
Mar 5, 2018 to Mar 12, 2018
HNW RAUM · $56.4M to $54.9M
Mar 5, 2018 to Mar 12, 2018
Individual RAUM · $54.9M to $56.4M
Mar 5, 2018 to Mar 12, 2018
Accounts · 299 to 311
Jul 21, 2017 to Mar 5, 2018
HNW clients · unset to 152.0
Jul 21, 2017 to Mar 5, 2018
Individual clients · unset to 30.0
Jul 21, 2017 to Mar 5, 2018
Other offices · unset to 1.0
Jul 21, 2017 to Mar 5, 2018
Discretionary RAUM · $102M to $111M
Jul 21, 2017 to Mar 5, 2018
HNW RAUM · unset to 56435985.0
Jul 21, 2017 to Mar 5, 2018
Individual RAUM · unset to 54906786.0
Jul 21, 2017 to Mar 5, 2018
RAUM · $102M to $111M
Jul 21, 2017 to Mar 5, 2018
Related broker-dealer · true to false
Jul 21, 2017 to Mar 5, 2018
Wrap assets (manager) · unset to 0.0
Jul 21, 2017 to Mar 5, 2018
Wrap assets (sponsor) · unset to 0.0
Jul 21, 2017 to Mar 5, 2018

Signals

1 dated events

••• Locked
Jun 8, 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.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 6, 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: $143Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026