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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••
Legal name S•••••••• A••••••• S•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 2, 2023 · 10 filings
SEC status approved since Mar 31, 2023
RAUM
$192M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$188M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$192M as of Mar 16, 2026
Feb 29, 2024$124M then
HNW client RAUM$154M as of Mar 16, 2026
Feb 29, 2024$96.1M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Feb 29, 20242 then
Employees (5.A)5 as of Mar 16, 2026
Feb 29, 20243 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 16, 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
- $64.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $382,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M80%
- Individuals$34.2M18%
- Corporations and businesses$3.7M1.9%
- Charitable organizations$78,9420.0%
- Individual clients
- 101reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 502reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• M••••• D•••••• | Higganum, Ct | Jul 25, 2016 | 26 y | 4 |
| T•••••• R• G•••• | Higganum, Ct | Aug 19, 2016 | 21 y | 3 |
| J•••• F•••• L••••• | Higganum, Ct | Nov 13, 2025 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• F•••• L••••• from C••• L••Nov 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- T•••••• R• G•••• from L•• F•••••••• L••Aug 19, 2016 · Other
- T••••••• M••••• D•••••• from L•• F•••••••• L••Jul 25, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• T•••••••• M••••• · Managing Membercontrolsince 05/2016 · owns 50% to 75%
- G••••• T••••••• R• · Managing Member And Ccocontrolsince 08/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••••••• W••••• M••••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Higganum, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 443 to 502Oct 27, 2025 to Mar 16, 2026
- Advisory activities · 3 to 6Oct 27, 2025 to Mar 16, 2026
- Corporate clients · 4 to 3Oct 27, 2025 to Mar 16, 2026
- HNW clients · 47 to 58Oct 27, 2025 to Mar 16, 2026
- Individual clients · 102 to 101Oct 27, 2025 to Mar 16, 2026
- Employees · 3 to 5Oct 27, 2025 to Mar 16, 2026
- State-registered IARs · 2 to 3Oct 27, 2025 to Mar 16, 2026
- Discretionary RAUM · $155M to $192MOct 27, 2025 to Mar 16, 2026
- HNW RAUM · $122M to $154MOct 27, 2025 to Mar 16, 2026
- Individual RAUM · $30.4M to $34.2MOct 27, 2025 to Mar 16, 2026
- RAUM · $155M to $192MOct 27, 2025 to Mar 16, 2026
- Accounts · 413 to 443Jan 22, 2025 to Feb 7, 2025
- Charity clients · 0 to 1Jan 22, 2025 to Feb 7, 2025
- Corporate clients · 3 to 4Jan 22, 2025 to Feb 7, 2025
- HNW clients · 40 to 47Jan 22, 2025 to Feb 7, 2025
- Individual clients · 89 to 102Jan 22, 2025 to Feb 7, 2025
- Financial planning clients · 101-250 to 101-250Jan 22, 2025 to Feb 7, 2025
- Discretionary RAUM · $124M to $155MJan 22, 2025 to Feb 7, 2025
- HNW RAUM · $96.1M to $122MJan 22, 2025 to Feb 7, 2025
- Individual RAUM · $26.3M to $30.4MJan 22, 2025 to Feb 7, 2025
- RAUM · $124M to $155MJan 22, 2025 to Feb 7, 2025
- Accounts · 385 to 413Oct 19, 2023 to Feb 29, 2024
- Corporate clients · 5 to 3Oct 19, 2023 to Feb 29, 2024
- HNW clients · 34 to 40Oct 19, 2023 to Feb 29, 2024
- Individual clients · 91 to 89Oct 19, 2023 to Feb 29, 2024
- Discretionary RAUM · $101M to $124MOct 19, 2023 to Feb 29, 2024
- HNW RAUM · $75.4M to $96.1MOct 19, 2023 to Feb 29, 2024
- Individual RAUM · $24.6M to $26.3MOct 19, 2023 to Feb 29, 2024
- RAUM · $101M to $124MOct 19, 2023 to Feb 29, 2024
Signals
1 dated events
- Spurstone filed its initial SEC registration (Form ADV)Mar 2, 2023 · 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
- info@spurstone.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ted.degroot@spurstone.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-264-1111reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-264-1111reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- spurstone.com/connect-with-usreportedpublished 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
- $64.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026