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

Procyon

Wealth manager with institutional or fund businessShelton, ConnecticutCRD 288239SEC 801-110493websiteIAPD
Legal name Procyon Advisors, LLC
Latest filing Jul 28, 2026
First filing on the tape Apr 20, 2017 · 51 filings
SEC status approved since May 26, 2017
RAUM
$9.2B
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
37%
$3.4B individuals and HNW
Advisors
48
registered through the firm on IAPD
RAUM per advisor
$192M
derived; firm RAUM over IAPD count
Employees
76
49 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
2
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$9.2B as of Jul 28, 2026
Mar 16, 2018$250M then
HNW client RAUM$2.8B as of Jul 28, 2026
Mar 16, 2018$80.0M then
State-registered IARs (5.B.3)49 as of Jul 28, 2026
Mar 16, 201812 then
Employees (5.A)76 as of Jul 28, 2026
Mar 16, 201816 then
Private funds2 as of Jul 28, 2026
Mar 19, 20242 then
RAUM +18% over the last fiscal year+23% a year over threeIARs 34 to 49offices 11 to 23
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
  • OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
  • 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
RAUM per advisor
$188MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
39%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.0derived24 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+44%derivedItem 5.B.3 between annual amendments
Client growth, one year
+117%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$1.3B, 2,012 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$4.9B53%
  • High-net-worth individuals$2.8B31%
  • Individuals$574M6.2%
  • State and municipal entities$479M5.2%
  • Corporations and businesses$351M3.8%
  • Pooled investment vehicles$43.1M0.5%
Individual clients
2,084reported
HNW clients
691reported
Pension plan clients
156reported
Charitable clients
n/areported
Accounts
8,716reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 2,012 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.37 fund_share=0.0 institutional_share=0.59 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
49 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Christopher Edwin FosterShelton, CtJun 2, 201717 y3
Jeffrey Hopkins FarrarCertified Financial PlannerLenoir City, Tn Jun 13, 201727 y3
Thomas Michael GahanShelton, Ct Jun 13, 201734 y2
Louis GloriaShelton, CtJun 14, 201725 y4
Phil Giuseppe FioreShelton, CtJul 24, 201731 y5
Caroline Curtin WetzelCertified Financial PlannerShelton, CtJul 31, 201711 y2
Mark James RichCertified Financial Planner, Chartered Financial AnalystShelton, CtSep 20, 201712 y1
Amber Noel KendrickShelton, CtOct 6, 201718 y2
Antonio Bentu RodriguesShelton, CtMay 17, 201825 y3
James Peter JefferyChartered Financial AnalystShelton, Ct Feb 19, 201947 y4
Richard Joseph AppaluccioShelton, Ct Jun 25, 202022 y1
Andrew J. Jason LeungCertified Financial PlannerSarasota, Fl Jul 31, 202028 y1
Cari Ann WallingMelville, Ny May 24, 202126 y3
John MarchisottaCertified Financial PlannerShelton, Ct May 24, 202129 y1
Michael Eligio KellyCertified Financial PlannerShelton, Ct May 24, 202127 y5
Terry Lee CrawfordCertified Financial PlannerChesapeake, Va May 24, 202122 y3
James Patrick DiverCertified Financial PlannerMelville, Ny May 24, 202112 y2
Michael John DesmondMelville, Ny Jun 1, 202134 y5
Daniel Gary LimmerCertified Financial PlannerBoynton Beach, Fl Jun 8, 202133 y3
Charles Kevin CaddickChartered Financial ConsultantShelton, CtSep 10, 202141 y0
John A VissicchioCertified Financial PlannerShelton, Ct Oct 20, 202118 y0
Marissa L SchneiderShelton, Ct Jun 2, 202214 y0
Robert Sean AlimenaCertified Financial PlannerMelville, Ny Oct 6, 202221 y5
Selena Kolette KempShelton, Ct Nov 4, 202228 y1
Thomas Somerville LeffelShelton, CtMar 24, 202314 y0
Ryan Edward KristieShelton, CtMay 31, 202310 y0
Harold James KirkpatrickCertified Financial PlannerShelton, Ct Feb 7, 202411 y2
Brian Christpoher TurnerShelton, Ct Jan 1, 202518 y2
Roger T CiaccoCertified Financial PlannerShelton, Ct Jan 22, 202557 y0
Jamie E WilsonCertified Financial PlannerShelton, Ct Feb 24, 202510 y1
Katherine Michelle GallagherNew York, Ny Mar 3, 202514 y3
Matthew William CorthellChartered Financial AnalystShelton, Ct Jul 3, 202512 y1
Prasad S OakCertified Financial PlannerMooresville, Nc Jul 3, 202518 y3
John Nelson FenrichMelville, Ny Aug 26, 202511 y0
Curtis Oneal IrbyCertified Financial PlannerShelton, CtOct 20, 202528 y3
Todd Jones SmallwoodShelton, Ct Nov 13, 202511 y4
Joel Philip LagoreCertified Financial PlannerBrentwood, Tn Dec 8, 202525 y2
Gerald Timothy St. CinShelton, Ct Dec 8, 202530 y2
Jesse Michael VanvalinShelton, Ct Dec 8, 202519 y2
Spencer John CompsLivonia, Mi Dec 8, 202510 y3
All 49 advisors at Procyon
Advisor movement
0 left, 14 joined in 12 months
net +14 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount7 left over 36 months
Left, latest
Joined, latest
Teams: two or more advisors moving together within fourteen days, from one state
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Procyon Evergreen I, L.P.Hedge Fund$33.9M20Mar 19, 2024
Procyon Vintage I, L.P.Private Equity Fund$9.3M15Aug 4, 2023
Owners and control persons
Schedule A and B, latest filing
  • Hopkins Jeffrey Farrar · Executive Managing Member And Chief Operating Officer Company)control
    since 06/2017 · owns less than 5%
  • Giuseppe Phil Fiore · Executive Managing Member And Chief Executive Officercontrol
    since 05/2017 · owns less than 5%
  • Edwin Christopher Foster · Presidentcontrol
    since 06/2017 · owns less than 5%
  • Michael Thomas Gahan · Managing Membercontrol
    since 06/2017 · owns less than 5%
  • Louis Gloria · Managing Membercontrol
    since 06/2017 · owns less than 5%
  • Jones Todd Smallwood · Chief Compliance Officercontrol
    since 10/2025 · owns less than 5%
Entity owners
  • Procyon Partners, LLC · Managing Member (Holding Company)
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Procyon Risk, LLC
    real estaten
Advisers that list Procyon as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Shelton, Ct · principal49150
Melville, Ny800
New York, Ny300
Flint, Mi330
Livonia, Mi220
Frisco, Tx220
Fulton, Md200
Offices
Schedule D 1.F, the 25 largest
  • Melville, NY5 employees
  • Fulton, MD2 employees
  • New York, NY1 employees
  • , 1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Jul 28, 2026
    GAHAN, THOMAS, MICHAEL (MANAGING MEMBER) left Schedule A between the filings of 2017-06-02 and 2026-07-28
    peers: independent wealth managers, $5B to $20B (289)
  • control person changedChange between filings · filing Jul 28, 2026
    SMALLWOOD, TODD, JONES (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2017-06-02 and 2026-07-28
    peers: independent wealth managers, $5B to $20B (289)
  • control person changedChange between filings · filing Jul 28, 2026
    GLORIA, LOUIS (MANAGING MEMBER) left Schedule A between the filings of 2017-06-02 and 2026-07-28
    peers: independent wealth managers, $5B to $20B (289)
  • account count surgeChange between filings · filing Mar 30, 2026
    accounts (Item 5.F.2.f) moved from 5,638.0 to 8,716.0 (+55.0%) between the annual amendments of 2025-04-28 and 2026-03-30; the peer median change was +8.0% (253 comparable advisers, 90.0th percentile of changes)
    peers: independent wealth managers, $5B to $20B (253) · 90% percentile
  • office count surgeChange between filings · filing Mar 30, 2026
    offices other than the principal office (Item 1.F.5) moved from 11.0 to 23.0 (+109.0%) between the annual amendments of 2025-04-28 and 2026-03-30; the peer median change was 0.0% (142 comparable advisers, 98.0th percentile of changes)
    peers: independent wealth managers, $5B to $20B (142) · 98% percentile
  • client count surgeChange between filings · filing Mar 30, 2026
    individual and HNW clients (Item 5.D) moved from 1,280.0 to 2,775.0 (+117.0%) between the annual amendments of 2025-04-28 and 2026-03-30; the peer median change was +6.0% (224 comparable advisers, 97.0th percentile of changes)
    peers: independent wealth managers, $5B to $20B (224) · 97% percentile
  • employee count surgeChange between filings · filing Mar 30, 2026
    employees (Item 5.A) moved from 47.0 to 76.0 (+62.0%) between the annual amendments of 2025-04-28 and 2026-03-30; the peer median change was +5.0% (264 comparable advisers, 95.0th percentile of changes)
    peers: independent wealth managers, $5B to $20B (264) · 95% percentile
What changed
consecutive filings, newest first
  • Accounts · 5,638 to 8,716
    Dec 16, 2025 to Mar 30, 2026
  • Advisory employees · 34 to 49
    Dec 16, 2025 to Mar 30, 2026
  • BD registered reps · 3 to 1
    Dec 16, 2025 to Mar 30, 2026
  • Corporate clients · 34 to 103
    Dec 16, 2025 to Mar 30, 2026
  • HNW clients · 519 to 691
    Dec 16, 2025 to Mar 30, 2026
  • Individual clients · 761 to 2,084
    Dec 16, 2025 to Mar 30, 2026
  • Pension plan clients · 128 to 156
    Dec 16, 2025 to Mar 30, 2026
  • Assets in custody · $906M to $1.3B
    Dec 16, 2025 to Mar 30, 2026
  • Employees · 47 to 76
    Dec 16, 2025 to Mar 30, 2026
  • State-registered IARs · 34 to 49
    Dec 16, 2025 to Mar 30, 2026
  • Other offices · 10 to 23
    Dec 16, 2025 to Mar 30, 2026
  • Discretionary RAUM · $2.8B to $3.5B
    Dec 16, 2025 to Mar 30, 2026
  • HNW RAUM · $2.4B to $2.8B
    Dec 16, 2025 to Mar 30, 2026
  • Individual RAUM · $250M to $574M
    Dec 16, 2025 to Mar 30, 2026
  • Non-discretionary RAUM · $5.0B to $5.7B
    Dec 16, 2025 to Mar 30, 2026
  • Pension RAUM · $4.2B to $4.9B
    Dec 16, 2025 to Mar 30, 2026
  • Pooled vehicle RAUM · $30.9M to $43.1M
    Dec 16, 2025 to Mar 30, 2026
  • RAUM · $7.8B to $9.2B
    Dec 16, 2025 to Mar 30, 2026
  • Other offices · 11 to 10
    Aug 21, 2025 to Nov 17, 2025
  • Financial planning clients · More than 500 to More than 500
    Apr 28, 2025 to May 22, 2025
  • Other offices · 5 to 11
    Nov 19, 2024 to Feb 25, 2025
  • Accounts · 4,077 to 5,638
    Nov 19, 2024 to Feb 25, 2025
  • Business name · PROCYON ADVISORS, LLC to PROCYON
    Nov 19, 2024 to Feb 25, 2025
  • Corporate clients · 32 to 34
    Nov 19, 2024 to Feb 25, 2025
  • HNW clients · 396 to 519
    Nov 19, 2024 to Feb 25, 2025
  • Individual clients · 748 to 761
    Nov 19, 2024 to Feb 25, 2025
  • Pension plan clients · 124 to 128
    Nov 19, 2024 to Feb 25, 2025
  • Pooled vehicle clients · unset to 2.0
    Nov 19, 2024 to Feb 25, 2025
  • Assets in custody · $572M to $906M
    Nov 19, 2024 to Feb 25, 2025
  • Employees · 41 to 47
    Nov 19, 2024 to Feb 25, 2025
  • Discretionary RAUM · $2.1B to $2.8B
    Nov 19, 2024 to Feb 25, 2025
  • HNW RAUM · $1.7B to $2.4B
    Nov 19, 2024 to Feb 25, 2025
  • Individual RAUM · $242M to $250M
    Nov 19, 2024 to Feb 25, 2025
  • Non-discretionary RAUM · $4.2B to $5.0B
    Nov 19, 2024 to Feb 25, 2025
  • Pension RAUM · $3.7B to $4.2B
    Nov 19, 2024 to Feb 25, 2025
  • Pooled vehicle RAUM · unset to 30915301.0
    Nov 19, 2024 to Feb 25, 2025
  • RAUM · $6.3B to $7.8B
    Nov 19, 2024 to Feb 25, 2025
  • Accounts · 3,330 to 4,077
    Aug 4, 2023 to Mar 19, 2024
  • Advisory employees · 29 to 34
    Aug 4, 2023 to Mar 19, 2024
  • Corporate clients · 27 to 32
    Aug 4, 2023 to Mar 19, 2024
Signals
23 dated events
  • John Rua Esteves registered as an investment adviser representative at Procyon
    Sep 14, 2026 · Advisor registered · fact
  • Procyon reported 49 state-registered advisory representatives, up from 34 (2025-12-16 to 2026-03-30)
    Mar 30, 2026 · Advisor headcount change · derived
  • Procyon reported 23 offices beyond its principal office, up from 10 (2025-12-16 to 2026-03-30)
    Mar 30, 2026 · Office count change · derived
  • Oliver Lagore Vanvalin Investment Group, Inc.'s advisors moved to Procyon (Flint, MI): 7 of 8 registered, on the same day
    Dec 8, 2025 · Firm absorbed (people side) · derived
  • Amanda Maria Diguiseppe left Procyon for Third View Private Wealth (registered 2025-05-22)
    May 21, 2025 · Advisor changed firm · fact
  • Jake Ryan Mccarthy left Procyon for Third View Private Wealth (registered 2025-05-22)
    May 21, 2025 · Advisor changed firm · fact
  • Christopher Mathew Sneed left Procyon for Third View Private Wealth (registered 2025-05-22)
    May 21, 2025 · Advisor changed firm · fact
  • Jerry Robert Sneed left Procyon for Third View Private Wealth (registered 2025-06-05)
    May 21, 2025 · Advisor changed firm · fact
  • Francis John Mckiernan left Procyon for Third View Private Wealth (registered 2025-05-22)
    May 21, 2025 · Advisor changed firm · fact
  • 6 advisors left Procyon (Shelton, CT) for Third View Private Wealth on the same day
    May 21, 2025 · Team lift-out · derived
  • Michael Alexander Herbert left Procyon for Third View Private Wealth (registered 2025-06-03)
    May 21, 2025 · Advisor changed firm · fact
  • Zoltan Pongracz left Procyon for Third View Private Wealth (registered 2025-05-22)
    May 21, 2025 · Advisor changed firm · fact
  • 2 advisors left Procyon (New York, NY) for Third View Private Wealth on the same day
    May 21, 2025 · Team lift-out · derived
  • Procyon reported 11 offices beyond its principal office, up from 5 (2024-11-19 to 2025-02-25)
    Feb 25, 2025 · Office count change · derived
  • Procyon reported RAUM $6.3B, up 27% from $4.9B (2023-08-04 to 2024-03-19)
    Mar 19, 2024 · RAUM change · derived
  • 2 advisors left Baker Tilly Wealth Management, LLC (New York, NY) for Procyon on the same day
    Jul 26, 2023 · Team lift-out · derived
  • 2 advisors left Baker Tilly Wealth Management, LLC (New York, NY) for Procyon on the same day
    Jun 26, 2023 · Team lift-out · derived
  • 2 advisors left Wells Fargo Advisors (Baltimore, MD) for Procyon on the same day
    Nov 10, 2022 · Team lift-out · derived
  • Procyon reported RAUM $5.3B, up 406% from $1.0B (2021-11-29 to 2022-01-25)
    Jan 25, 2022 · RAUM change · derived
  • Procyon reported RAUM $1.0B, up 28% from $813.8M (2020-07-31 to 2021-02-12)
    Feb 12, 2021 · RAUM change · derived
  • Procyon reported RAUM $813.8M, up 109% from $390.0M (2019-12-23 to 2020-03-13)
    Mar 13, 2020 · RAUM change · derived
  • Procyon reported RAUM $390.0M, up 56% from $250.0M (2019-02-18 to 2019-03-11)
    Mar 11, 2019 · RAUM change · derived
  • Procyon Private Wealth Partners Llc filed its initial SEC registration (Form ADV)
    Apr 20, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
475-232-2700reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
844-776-2966reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
LINKEDIN.COM/COMPANY/18096239/ADMIN/UPDATESreportedpublic record, Form ADV, Sep 18, 2026
Website
procyon.netreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(475) 232-2704reportedpublic record, Form ADV, Jul 28, 2026
Contact form
procyon.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page
procyon.net/about/our-teamreportedpublished by the firm, firm site, Sep 15, 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
Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor
$192Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026