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

P••••• F•••••••• S•••••••• L••

Former SEC-registered adviserCRD 175415SEC 801-123322IAPD
Latest filing Nov 29, 2022
First filing on the tape Jan 26, 2022 · 7 filings
RAUM
$58.3M
reported, Item 5.F
Discretionary
6.7%
of RAUM
Private clients
100%
$58.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$58.3M as of Nov 29, 2022
Jan 26, 2022$58.3M then
HNW client RAUM$52.7M as of Nov 29, 2022
Jan 26, 2022$52.7M then
State-registered IARs (5.B.3)2 as of Nov 29, 2022
Jan 26, 20222 then
Employees (5.A)3 as of Nov 29, 2022
Jan 26, 20223 then
Private funds: no history
Practice profile
derived from the filing of Nov 29, 2022; every figure names its basis
RAUM per advisor
$29.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$52.7MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.7%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
0.7derived3 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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$52.7M90%
  • Individuals$5.6M9.7%
Individual clients
17reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
39reported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• D••••••• J••• · Chief Compliance Officercontrol
      since 07/2021 · owns less than 5%
    • L••••••• J•••••• P•••• · Managing Membercontrol
      since 07/2021 · owns less than 5%
    • L••••••• J•••••• P•••• · Managing Partnercontrol
      since 10/2019 · owns 50% to 75% of M••••• P•••••••• L••
    Entity owners
    • M•••••• H•••••••• L•• · Member
      direct · owns 75% or more
    • M••••• P•••••••• L•• · Member
      indirect · owns 75% or more of M•••••• H•••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Darien, CT2 employees
    • , 2 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 2
      Sep 26, 2022 to Nov 28, 2022
    • Employees · 4 to 3
      Sep 26, 2022 to Nov 28, 2022
    • HQ city · RYE BROOK to unset
      Sep 26, 2022 to Nov 28, 2022
    • HQ state · NY to unset
      Sep 26, 2022 to Nov 28, 2022
    • State-registered IARs · 3 to 2
      Sep 26, 2022 to Nov 28, 2022
    • Advisory employees · 2 to 3
      Mar 30, 2022 to May 23, 2022
    • Employees · 3 to 4
      Mar 30, 2022 to May 23, 2022
    • State-registered IARs · 2 to 3
      Mar 30, 2022 to May 23, 2022
    Signals
    5 dated events
    • D•••••• J••• H••••• left P••••• F•••••••• S•••••••• L•• for L••••••• F••••• O••••• (registered 2023-04-05)
      Apr 25, 2023 · Advisor changed firm · fact
    • P••••• F•••••••• S•••••••• L••'s advisors moved to L••••••• F••••• O••••• (New Cannan, CT): 3 of 3 registered, on the same day
      Apr 25, 2023 · Firm absorbed (people side) · derived
    • J••••• T••••• F••••• left P••••• F•••••••• S•••••••• L•• for L••••••• F••••• O••••• (registered 2023-04-05)
      Apr 25, 2023 · Advisor changed firm · fact
    • K•••• J•••• S•••••• left P••••• F•••••••• S•••••••• L•• for L••••••• F••••• O••••• (registered 2023-04-05)
      Apr 25, 2023 · Advisor changed firm · fact
    • P••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 26, 2022 · 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