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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SEC-registered adviser
R••••••• P•••••• C••••••• L••
Latest filing Mar 19, 2026
First filing on the tape May 2, 2017 · 19 filings
SEC status approved since Jun 2, 2017
RAUM
$1.9B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
92%
$1.8B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$481M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.9B as of Mar 19, 2026
Mar 28, 2018$236M then
HNW client RAUM$1.8B as of Mar 19, 2026
Mar 28, 2018$199M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 28, 20183 then
Employees (5.A)10 as of Mar 19, 2026
Mar 28, 20185 then
Private funds: no history
RAUM +46% over the last fiscal year+23% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $481MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $465M, 78 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B91%
- Corporations and businesses$130M6.7%
- Individuals$24.4M1.3%
- Charitable organizations$12.5M0.7%
- Pension and profit-sharing plans$2.3M0.1%
- Individual clients
- 63reported
- HNW clients
- 190reported
- Pension plan clients
- 1reported
- Charitable clients
- 10reported
- Accounts
- 909reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $465M for 78 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• S••••••Certified Financial Planner | Glastonbury, Ct | Jul 26, 2017 | 19 y | 1 |
| A•••••••• A•••••• G••••Certified Financial Planner, Chartered Financial Analyst | Glastonbury, Ct | Nov 17, 2017 | 20 y | 0 |
| M•••••• D•••• M•••••• | Glastonbury, Ct | Nov 20, 2017 | 18 y | 1 |
| A••••• G•• B•••••••••Chartered Financial Analyst | Glastonbury, Ct | Feb 12, 2020 | 17 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- A••••• G•• B••••••••• from U•• F•••••••• S••••••• I•••Feb 12, 2020 · Wirehouse to independent RIA
- M•••••• D•••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 20, 2017 · Other
- B•••• J••••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 26, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 2, 2017 · Hartford, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A•••••• G•• · Membercontrolsince 11/2020 · owns 10% to 25%
- G••••• A••••••••• A•••••• · Membercontrolsince 05/2017 · owns 10% to 25%
- M••••••• M••••••• D•••• · Membercontrolsince 05/2017 · owns 25% to 50%
- S••••••• B••••• J••••• · Member And Chief Compliance Officercontrolsince 05/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $1,315,900,298 to $1,923,376,840 (+46.0%) between the annual amendments of 2025-03-13 and 2026-03-19; the peer median change was +17.0% (1298 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 850 to 909Mar 13, 2025 to Mar 19, 2026
- Advisory employees · 5 to 7Mar 13, 2025 to Mar 19, 2026
- Charity clients · 6 to 10Mar 13, 2025 to Mar 19, 2026
- Corporate clients · 10 to 11Mar 13, 2025 to Mar 19, 2026
- HNW clients · 178 to 190Mar 13, 2025 to Mar 19, 2026
- Individual clients · 65 to 63Mar 13, 2025 to Mar 19, 2026
- Assets in custody · $149M to $465MMar 13, 2025 to Mar 19, 2026
- Employees · 9 to 10Mar 13, 2025 to Mar 19, 2026
- Financial planning clients · 101-250 to 251-500Mar 13, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.2B to $1.8BMar 13, 2025 to Mar 19, 2026
- HNW RAUM · $1.2B to $1.8BMar 13, 2025 to Mar 19, 2026
- Individual RAUM · $24.4M to $24.4MMar 13, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $154M to $169MMar 13, 2025 to Mar 19, 2026
- Pension RAUM · $4.0M to $2.3MMar 13, 2025 to Mar 19, 2026
- RAUM · $1.3B to $1.9BMar 13, 2025 to Mar 19, 2026
- RAUM · $1.1B to $1.3BMar 15, 2024 to Mar 13, 2025
- Accounts · 767 to 850Mar 15, 2024 to Mar 13, 2025
- Corporate clients · 9 to 10Mar 15, 2024 to Mar 13, 2025
- HNW clients · 160 to 178Mar 15, 2024 to Mar 13, 2025
- Individual clients · 50 to 65Mar 15, 2024 to Mar 13, 2025
- Assets in custody · $116M to $149MMar 15, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Mar 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $996M to $1.2BMar 15, 2024 to Mar 13, 2025
- HNW RAUM · $1.0B to $1.2BMar 15, 2024 to Mar 13, 2025
- Individual RAUM · $18.9M to $24.4MMar 15, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $147M to $154MMar 15, 2024 to Mar 13, 2025
- Pension RAUM · $3.4M to $4.0MMar 15, 2024 to Mar 13, 2025
- Accounts · 742 to 767Apr 6, 2023 to Mar 15, 2024
- Advisory activities · 3 to 5Apr 6, 2023 to Mar 15, 2024
- Charity clients · 4 to 6Apr 6, 2023 to Mar 15, 2024
- Corporate clients · 7 to 9Apr 6, 2023 to Mar 15, 2024
- HNW clients · 150 to 160Apr 6, 2023 to Mar 15, 2024
- Individual clients · 53 to 50Apr 6, 2023 to Mar 15, 2024
- Assets in custody · $84.4M to $116MApr 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $891M to $996MApr 6, 2023 to Mar 15, 2024
- HNW RAUM · $924M to $1.0BApr 6, 2023 to Mar 15, 2024
- Individual RAUM · $18.4M to $18.9MApr 6, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $138M to $147MApr 6, 2023 to Mar 15, 2024
- Pension RAUM · $2.9M to $3.4MApr 6, 2023 to Mar 15, 2024
- RAUM · $1.0B to $1.1BApr 6, 2023 to Mar 15, 2024
Signals
7 dated events
- R••••••• P•••••• C••••••• L•• reported RAUM $1.9B, up 46% from $1.3B (2025-03-13 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- R••••••• P•••••• C••••••• L•• reported RAUM $855.2M, up 46% from $586.9M (2020-06-29 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- Guy Andrew Baldassarre (Member) appeared on Schedule A of R••••••• P•••••• C••••••• L••Mar 24, 2021 · Control person joined · fact
- R••••••• P•••••• C••••••• L•• reported RAUM $586.9M, up 35% from $433.9M (2019-03-25 to 2020-04-30)Apr 30, 2020 · RAUM change · derived
- R••••••• P•••••• C••••••• L•• reported RAUM $433.9M, up 84% from $236.0M (2018-03-28 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- R••••••• P•••••• C••••••• L•• reported RAUM $236.0M, up 76% from $133.8M (2017-09-12 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- R••••••• P•••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 2, 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d•••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- n••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-200-6074reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-200-6072reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-200-6075reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-200-6079reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- r•••••••.comreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $481Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026