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

M•••••• F•••••••• G••••• L••

Former SEC-registered adviserGlastonbury, ConnecticutCRD 287649SEC 801-110013IAPD
Latest filing Apr 13, 2022
First filing on the tape Feb 11, 2017 · 18 filings
RAUM
$0
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2022
Mar 30, 2018$118M then
HNW client RAUM$0 as of Mar 30, 2022
Mar 30, 2018$86.7M then
State-registered IARs (5.B.3)1 as of Mar 30, 2022
Mar 30, 20185 then
Employees (5.A)1 as of Mar 30, 2022
Mar 30, 20186 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 5 to 1
Practice profile
derived from the filing of Apr 13, 2022; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-80%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
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
  • C•••••• A•••••• E•••••••• · Managing Membercontrol
    since 02/2017 · owns 25% to 50%
  • Y•••••• B••••••• W••••••• · Managing Member And Chief Compliance Officercontrol
    since 02/2017 · owns 25% to 50%
  • Y•••••• N•••••• J••• · Managing Membercontrol
    since 02/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 500 to 0
    Nov 17, 2021 to Mar 30, 2022
  • Advisory employees · 5 to 1
    Nov 17, 2021 to Mar 30, 2022
  • BD registered reps · 6 to 1
    Nov 17, 2021 to Mar 30, 2022
  • HNW clients · 78 to 0
    Nov 17, 2021 to Mar 30, 2022
  • Individual clients · 140 to 0
    Nov 17, 2021 to Mar 30, 2022
  • Pension plan clients · 17 to 0
    Nov 17, 2021 to Mar 30, 2022
  • Employees · 6 to 1
    Nov 17, 2021 to Mar 30, 2022
  • Financial planning clients · 51-100 to 0
    Nov 17, 2021 to Mar 30, 2022
  • State-registered IARs · 5 to 1
    Nov 17, 2021 to Mar 30, 2022
  • Discretionary RAUM · $156M to $0
    Nov 17, 2021 to Mar 30, 2022
  • HNW RAUM · $83.9M to $0
    Nov 17, 2021 to Mar 30, 2022
  • Individual RAUM · $22.3M to $0
    Nov 17, 2021 to Mar 30, 2022
  • Pension RAUM · $50.2M to $0
    Nov 17, 2021 to Mar 30, 2022
  • RAUM · $156M to $0
    Nov 17, 2021 to Mar 30, 2022
  • Accounts · 531 to 500
    Jan 17, 2021 to Mar 11, 2021
  • Discretionary RAUM · $189M to $156M
    Jan 17, 2021 to Mar 11, 2021
  • HNW RAUM · $109M to $83.9M
    Jan 17, 2021 to Mar 11, 2021
  • Individual RAUM · $29.8M to $22.3M
    Jan 17, 2021 to Mar 11, 2021
  • Pension RAUM · $50.3M to $50.2M
    Jan 17, 2021 to Mar 11, 2021
  • RAUM · $189M to $156M
    Jan 17, 2021 to Mar 11, 2021
  • Accounts · 495 to 531
    Nov 30, 2020 to Jan 17, 2021
  • Advisory activities · 2 to 3
    Nov 30, 2020 to Jan 17, 2021
  • HNW clients · 82 to 78
    Nov 30, 2020 to Jan 17, 2021
  • Individual clients · 212 to 140
    Nov 30, 2020 to Jan 17, 2021
  • Pension plan clients · 0 to 17
    Nov 30, 2020 to Jan 17, 2021
  • Discretionary RAUM · $135M to $189M
    Nov 30, 2020 to Jan 17, 2021
  • HNW RAUM · $59.2M to $109M
    Nov 30, 2020 to Jan 17, 2021
  • Individual RAUM · $76.1M to $29.8M
    Nov 30, 2020 to Jan 17, 2021
  • Pension RAUM · $0 to $50.3M
    Nov 30, 2020 to Jan 17, 2021
  • RAUM · $135M to $189M
    Nov 30, 2020 to Jan 17, 2021
  • Accounts · 462 to 495
    May 7, 2019 to Mar 30, 2020
  • HNW clients · 76 to 82
    May 7, 2019 to Mar 30, 2020
  • Individual clients · 207 to 212
    May 7, 2019 to Mar 30, 2020
  • Discretionary RAUM · $113M to $135M
    May 7, 2019 to Mar 30, 2020
  • HNW RAUM · $27.2M to $59.2M
    May 7, 2019 to Mar 30, 2020
  • Individual RAUM · $86.1M to $76.1M
    May 7, 2019 to Mar 30, 2020
  • RAUM · $113M to $135M
    May 7, 2019 to Mar 30, 2020
  • Accounts · 434 to 462
    Oct 15, 2018 to Mar 25, 2019
  • BD registered reps · 5 to 6
    Oct 15, 2018 to Mar 25, 2019
  • Charity clients · unset to 0.0
    Oct 15, 2018 to Mar 25, 2019
Signals
8 dated events
  • N••••• J••• Y••••• left M•••••• F•••••••• G••••• L•• for L•• I••••••••• (registered 2024-04-03)
    Mar 31, 2023 · Advisor changed firm · fact
  • T• S•••••• M••••••••• left M•••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2021-01-12)
    Mar 31, 2023 · Advisor changed firm · fact
  • B•••••• W••••••• Y••••• left M•••••• F•••••••• G••••• L•• for L•• I••••••••• (registered 2024-04-03)
    Mar 31, 2023 · Advisor changed firm · fact
  • 2 advisors left M•••••• F•••••••• G••••• L•• (Glastonbury, CT) for L•• I••••••••• on the same day
    Mar 31, 2023 · Team lift-out · derived
  • A••••• E•••••••• C••••• left M•••••• F•••••••• G••••• L•• for M• H••••••• S••••••••• I••• (registered 2021-02-13)
    Jan 23, 2023 · Advisor changed firm · fact
  • M•••••• F•••••••• G••••• L•• reported RAUM $0, down 100% from $156.4M (2021-11-17 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • Stetson Ty Martinelli (Managing Member) no longer on Schedule A of M•••••• F•••••••• G••••• L•• (listed 2020-11-30, absent 2021-01-17)
    Jan 17, 2021 · Control person left · inference
  • M•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Feb 11, 2017 · 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