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

A•• A•••••••• L••

Former SEC-registered adviserFairfield, ConnecticutCRD 170849SEC 801-79689IAPD
Latest filing Sep 6, 2016
First filing on the tape Apr 25, 2014 · 20 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2016
Mar 12, 2015$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2016
Mar 12, 20152 then
Employees (5.A)1 as of Mar 24, 2016
Mar 12, 20153 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Sep 6, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• W••••••• J••••• · Investment Adviser Representative/Chief Compliance Officercontrol
    since 06/2015 · owns less than 5%
  • B•••• S••••• F•••••••• · Managing Member
    since 02/2014 · 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
  • Accounts · 1 to 0
    Feb 5, 2016 to Mar 24, 2016
  • Employees · 3 to 1
    Feb 5, 2016 to Mar 24, 2016
  • Insurance-licensed employees · 1 to 0
    Feb 5, 2016 to Mar 24, 2016
  • Discretionary RAUM · $2.3M to $0
    Feb 5, 2016 to Mar 24, 2016
  • RAUM · $2.3M to $0
    Feb 5, 2016 to Mar 24, 2016
  • BD registered reps · 1 to 0
    Nov 5, 2015 to Nov 19, 2015
  • Insurance-licensed employees · 2 to 1
    Oct 23, 2015 to Nov 5, 2015
  • State-registered IARs · 2 to 1
    Oct 23, 2015 to Nov 5, 2015
  • Advisory employees · 2 to 1
    Aug 27, 2015 to Oct 1, 2015
  • Accounts · 0 to 1
    Sep 8, 2014 to Mar 12, 2015
  • Discretionary RAUM · $0 to $2.3M
    Sep 8, 2014 to Mar 12, 2015
  • RAUM · $0 to $2.3M
    Sep 8, 2014 to Mar 12, 2015
  • Advisory employees · 3 to 2
    Apr 30, 2014 to May 27, 2014
  • Insurance-licensed employees · 3 to 2
    Apr 30, 2014 to May 27, 2014
  • State-registered IARs · 3 to 2
    Apr 30, 2014 to May 27, 2014
  • Legal name · B•••, S•••• F to A•• A•••••••• L••
    Apr 25, 2014 to Apr 28, 2014
Signals
1 dated events
  • A•• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 25, 2014 · 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