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

A••••• A••• I•••

Former SEC-registered adviserWestport, ConnecticutCRD 285036SEC 801-108358IAPD
Latest filing Mar 26, 2019
First filing on the tape Aug 30, 2016 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$629,457 as of Mar 13, 2018
Mar 27, 2017$2.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 13, 2018
Mar 27, 20171 then
Employees (5.A)3 as of Mar 13, 2018
Mar 27, 20173 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-75%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J•••• L••••••• · Chief Operating Officercontrol
        since 03/2015 · owns less than 5%
      • L••••••••• B••••••• H••• · Presidentcontrol
        since 03/2015 · owns 75% or more
      • M••••• A•••••• A• · Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Feb 4, 2019 to Mar 26, 2019
      • Advisory activities · 1 to 2
        Feb 4, 2019 to Mar 26, 2019
      • Discretionary RAUM · 629457.0 to unset
        Feb 4, 2019 to Mar 26, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Feb 4, 2019 to Mar 26, 2019
      • RAUM · 629457.0 to unset
        Feb 4, 2019 to Mar 26, 2019
      • Other offices · unset to 1.0
        Mar 27, 2017 to Mar 13, 2018
      • Discretionary RAUM · $2.5M to $629,457
        Mar 27, 2017 to Mar 13, 2018
      • RAUM · $2.5M to $629,457
        Mar 27, 2017 to Mar 13, 2018
      • Accounts · unset to 1.0
        Jan 5, 2017 to Mar 27, 2017
      • Discretionary RAUM · unset to 2500000.0
        Jan 5, 2017 to Mar 27, 2017
      • Non-discretionary RAUM · unset to 0.0
        Jan 5, 2017 to Mar 27, 2017
      • RAUM · unset to 2500000.0
        Jan 5, 2017 to Mar 27, 2017
      Signals
      3 dated events
      • Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of A••••• A••• I••• (listed 2019-02-04, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • A Amanda Misch (Chief Compliance Officer) appeared on Schedule A of A••••• A••• I•••
        Mar 26, 2019 · Control person joined · fact
      • A••••• A••• I••• filed its initial SEC registration (Form ADV)
        Aug 30, 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