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
S••••• F•••••••• G••••• L••
Latest filing Feb 17, 2026
First filing on the tape Feb 21, 2024 · 5 filings
SEC status approved since Mar 21, 2024
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$168M as of Feb 17, 2026
Jan 14, 2025$138M then
HNW client RAUM$149M as of Feb 17, 2026
Jan 14, 2025$113M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Jan 14, 20252 then
Employees (5.A)4 as of Feb 17, 2026
Jan 14, 20254 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 2026; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $84.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $365,054derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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)
- 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
- High-net-worth individuals$149M88%
- Individuals$19.5M12%
- Individual clients
- 32reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 461reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• N••••• R••Certified Financial Planner, Chartered Financial Consultant | Glastonbury, Ct | Apr 24, 2015 | 21 y | 2 |
| N••••••• R•••••• R••Certified Financial Planner | Glastonbury, Ct | Apr 24, 2015 | 20 y | 2 |
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
- R••••• N••••• R•• from N••• F•••••••• G••••• I•••Apr 24, 2015 · Other
- N••••••• R•••••• R•• from N••• F•••••••• G••••• I•••Apr 24, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••• N•••••••• R•••••• · Membercontrolsince 01/2009 · owns 50% to 75%
- R••• R•••••• N••••• · Membercontrolsince 01/2009 · 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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 453 to 461Sep 23, 2025 to Feb 17, 2026
- HNW clients · 58 to 71Sep 23, 2025 to Feb 17, 2026
- Individual clients · 33 to 32Sep 23, 2025 to Feb 17, 2026
- Financial planning clients · 51-100 to 101-250Sep 23, 2025 to Feb 17, 2026
- Discretionary RAUM · $138M to $168MSep 23, 2025 to Feb 17, 2026
- HNW RAUM · $113M to $149MSep 23, 2025 to Feb 17, 2026
- Individual RAUM · $24.8M to $19.5MSep 23, 2025 to Feb 17, 2026
- RAUM · $138M to $168MSep 23, 2025 to Feb 17, 2026
- Accounts · 398 to 453Apr 9, 2024 to Jan 14, 2025
- HNW clients · 46 to 58Apr 9, 2024 to Jan 14, 2025
- Individual clients · 47 to 33Apr 9, 2024 to Jan 14, 2025
- Employees · 3 to 4Apr 9, 2024 to Jan 14, 2025
- Financial planning clients · 51-100 to 51-100Apr 9, 2024 to Jan 14, 2025
- Discretionary RAUM · $117M to $138MApr 9, 2024 to Jan 14, 2025
- HNW RAUM · $90.0M to $113MApr 9, 2024 to Jan 14, 2025
- Individual RAUM · $26.8M to $24.8MApr 9, 2024 to Jan 14, 2025
- RAUM · $117M to $138MApr 9, 2024 to Jan 14, 2025
Signals
1 dated events
- S••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2024 · 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
- team@somniofg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-430-5500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••FG.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-430-5500reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- somniofg.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $84.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026