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

S•••• A••• W••••• A•••••••• L••

Former SEC-registered adviserCheshire, ConnecticutCRD 284536SEC 801-108142IAPD
Latest filing Jan 18, 2017
First filing on the tape Jul 13, 2016 · 10 filings
RAUM
$48.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$48.2M as of Jan 18, 2017
Jul 13, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 18, 2017
Jul 13, 20161 then
Employees (5.A)3 as of Jan 18, 2017
Jul 13, 20161 then
Private funds: no history
Practice profile
derived from the filing of Jan 18, 2017; every figure names its basis
RAUM per advisor
$48.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$285,385derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 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 consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
169reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••••••• D••••• R•••• · Principal And Chief Compliance Officercontrol
    since 07/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Cheshire, CT
  • Wethersfield, CT
What changed
consecutive filings, newest first
  • Accounts · 0 to 169
    Oct 31, 2016 to Jan 6, 2017
  • Discretionary RAUM · $0 to $48.2M
    Oct 31, 2016 to Jan 6, 2017
  • RAUM · $0 to $48.2M
    Oct 31, 2016 to Jan 6, 2017
  • HQ city · WETHERSFIELD to CHESHIRE
    Aug 22, 2016 to Oct 28, 2016
  • HQ city · CHESHIRE to WETHERSFIELD
    Jul 29, 2016 to Aug 5, 2016
  • BD registered reps · 0 to 1
    Jul 13, 2016 to Jul 29, 2016
  • Business name · S•••• A•••• L•• to S•••• A••• W••••• A•••••••• L••
    Jul 13, 2016 to Jul 29, 2016
  • Employees · 1 to 3
    Jul 13, 2016 to Jul 29, 2016
  • HQ city · MARSHFIELD to WETHERSFIELD
    Jul 13, 2016 to Jul 29, 2016
  • HQ state · MA to CT
    Jul 13, 2016 to Jul 29, 2016
  • Legal name · S•••• A•••• L•• to S•••• A••• W••••• A•••••••• L••
    Jul 13, 2016 to Jul 29, 2016
  • Related broker-dealer · false to true
    Jul 13, 2016 to Jul 29, 2016
  • HQ city · WETHERSFIELD to CHESHIRE
    Jul 29, 2016 to Jul 29, 2016
Signals
1 dated events
  • S•••• A•••• L•• filed its initial SEC registration (Form ADV)
    Jul 13, 2016 · 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