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
B•••• I••••••••• A•••••••
Legal name B•••• I••••••••• A••••••• L••
Latest filing Jul 8, 2024
First filing on the tape Jul 8, 2024 · 1 filings
RAUM
$35.2M
reported, Item 5.F
Discretionary
3.0%
of RAUM
Private clients
100%
$35.2M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 8, 2024; every figure names its basis
- RAUM per advisor
- $8.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $364,067derivedHNW RAUM over HNW clients
- Average account
- $331,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices 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 individualsreportedItem 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
- 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$31.3M89%
- Individuals$3.8M11%
- Individual clients
- 20reported
- HNW clients
- 86reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 106reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• S•••••• R••••••• | Glastonbury, Ct | Jul 14, 2015 | 42 y | 1 |
| C••••••••• D• B••••• | Glastonbury, Ct | Jul 14, 2015 | 40 y | 0 |
| G•••••• C••••••• M•••• | San Diego, Ca | Dec 3, 2018 | 33 y | 1 |
| G••••• W••••• M••••• | Glastonbury, Ct | Aug 6, 2021 | 50 y | 1 |
Advisor movement
Left, latest
- K•••• J••••• C•••••• to F•••••••• C•••••• M••••••••• L••Mar 30, 2022 · Other
Joined, latest
- K•••• J••••• C•••••• from L•• F•••••••• L••Sep 14, 2021 · Affiliated broker-dealer or bank to a state-registered adviser
- G••••• W••••• M••••• from C••••• • M•••••••• I•••Aug 6, 2021 · Other
- G•••••• C••••••• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 3, 2018 · Wirehouse to a state-registered adviser
- D••••• S•••••• R••••••• from J••••• M••••••••• S•••• L••Jul 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 4 | 0 | 0 |
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
1 dated events
- K•••• J••••• C•••••• left B•••• I••••••••• A••••••• for F•••••••• C•••••• M••••••••• L•• (registered 2026-06-12)Mar 30, 2022 · Advisor changed firm · 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
- Principal office phone
- 8606571700reportedpublic record, Form ADV, Jul 8, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026