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.

SEC-registered adviser

Catum Advisory Group, LLC.

Independent wealth managerWilton, ConnecticutCRD 277148SEC 801-136072websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2026 · 1 filings
SEC status approved since May 1, 2026
RAUM
$129M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
72%
$93.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$129M
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
1 filings and snapshots on the tape
RAUM: $129M
HNW client RAUM: $86.4M
State-registered IARs (5.B.3): 2
Employees (5.A): 4
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$434,608derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$19.9M, 41 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$86.4M67%
  • Pension and profit-sharing plans$35.4M27%
  • Individuals$6.8M5.3%
  • Corporations and businesses$120,0000.1%
Individual clients
40reported
HNW clients
35reported
Pension plan clients
19reported
Charitable clients
n/areported
Accounts
296reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$19.9M for 41 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.72 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Matthew Parker GachiCertified Financial PlannerWilton, CtApr 13, 201629 y2
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Parker Matthew Gachi · Chief Executive Officer/Chief Compliance Officercontrol
    since 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Wilton, Ct · principal101
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
  • Jason Thomas Arena left Catum Advisory Group, Llc. for Investmark Advisory Group Llc (registered 2026-08-19)
    Aug 17, 2026 · 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
Firm profile
linkedin.com/company/catum-advisory-group-llc/peoplereportedpublic record, Form ADV, Sep 17, 2026
Website
CATUMGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(203) 344-7770reportedpublic record, Form ADV, Mar 30, 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
$129Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026