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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SEC-registered adviser
A••• M••••• F•••••••• A•••••••• L••
Latest filing Mar 26, 2024
First filing on the tape Dec 8, 2014 · 26 filings
SEC status approved since Jan 5, 2015
RAUM
$175M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$175M as of Mar 26, 2024
Mar 30, 2016$141M then
HNW client RAUM$131M as of Mar 26, 2024
Apr 19, 2018$16.3M then
State-registered IARs (5.B.3)2 as of Mar 26, 2024
Mar 30, 20160 then
Employees (5.A)3 as of Mar 26, 2024
Mar 30, 201611 then
Private funds: no history
RAUM -20% over the last fiscal year+5.8% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $87.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 194derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $103,476derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M75%
- Individuals$43.9M25%
- Individual clients
- 313reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,687reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- D•••• G•••••• to T••••••••• F•••••••• A•••••••• L••Feb 4, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• G•••••• from H••• S••••••••• •••• I•••Jan 5, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• V••••••• J••••• · Ceo, Chairmancontrolsince 06/2014 · owns 75% or more
- M•••••••• J••••• E••••• · Chief Compliance Officersince 02/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Southington, CT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2024discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,908 to 1,687Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 8 to 3Mar 31, 2023 to Mar 26, 2024
- BD registered reps · 1 to 0Mar 31, 2023 to Mar 26, 2024
- HNW clients · 82 to 74Mar 31, 2023 to Mar 26, 2024
- Individual clients · 612 to 313Mar 31, 2023 to Mar 26, 2024
- Employees · 9 to 3Mar 31, 2023 to Mar 26, 2024
- Financial planning clients · More than 500 to 251-500Mar 31, 2023 to Mar 26, 2024
- State-registered IARs · 3 to 2Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $81.2M to $0Mar 31, 2023 to Mar 26, 2024
- HNW RAUM · $96.9M to $131MMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $120M to $43.9MMar 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $136M to $175MMar 31, 2023 to Mar 26, 2024
- RAUM · $217M to $175MMar 31, 2023 to Mar 26, 2024
- Wrap assets (manager) · 0.0 to unsetMar 31, 2023 to Mar 26, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 31, 2023 to Mar 26, 2024
- BD registered reps · 3 to 1Aug 2, 2022 to Mar 31, 2023
- Employees · 10 to 9Aug 2, 2022 to Mar 31, 2023
- Accounts · 1,166 to 1,908Jan 31, 2022 to Mar 31, 2022
- Advisory activities · 3 to 2Jan 31, 2022 to Mar 31, 2022
- Individual clients · 1,084 to 612Jan 31, 2022 to Mar 31, 2022
- Assets in custody · $36,300 to $0Jan 31, 2022 to Mar 31, 2022
- Custody of client assets · true to falseJan 31, 2022 to Mar 31, 2022
- Discretionary RAUM · $49.7M to $81.2MJan 31, 2022 to Mar 31, 2022
- Individual RAUM · $50.7M to $120MJan 31, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $97.8M to $136MJan 31, 2022 to Mar 31, 2022
- RAUM · $148M to $217MJan 31, 2022 to Mar 31, 2022
- Accounts · 1,446 to 1,166Dec 4, 2020 to Mar 29, 2021
- Advisory activities · 2 to 3Dec 4, 2020 to Mar 29, 2021
- BD registered reps · 4 to 3Dec 4, 2020 to Mar 29, 2021
- HNW clients · 55 to 82Dec 4, 2020 to Mar 29, 2021
- Individual clients · 507 to 1,084Dec 4, 2020 to Mar 29, 2021
- Assets in custody · $710,386 to $36,300Dec 4, 2020 to Mar 29, 2021
- Insurance-licensed employees · 4 to 0Dec 4, 2020 to Mar 29, 2021
- State-registered IARs · 4 to 3Dec 4, 2020 to Mar 29, 2021
- Discretionary RAUM · $133M to $49.7MDec 4, 2020 to Mar 29, 2021
- HNW RAUM · $84.7M to $96.9MDec 4, 2020 to Mar 29, 2021
- Individual RAUM · $85.0M to $50.7MDec 4, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $36.5M to $97.8MDec 4, 2020 to Mar 29, 2021
- RAUM · $170M to $148MDec 4, 2020 to Mar 29, 2021
- Accounts · 1,345 to 1,446Jun 30, 2020 to Sep 4, 2020
Signals
3 dated events
- D•••• G•••••• left A••• M••••• F•••••••• A•••••••• L•• for T••••••••• F•••••••• A•••••••• L•• (registered 2022-02-07)Feb 4, 2022 · Advisor changed firm · fact
- D•••• G•••••• (Chief Compliance Officer) appeared on Schedule A of A••• M••••• F•••••••• A•••••••• L••Sep 4, 2020 · Control person joined · fact
- A••• M••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-798-1100reportedpublic record, Form ADV, Mar 26, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026