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
P•••••••• W•••••
Legal name P•••••••• W••••• P••••••• L••
Latest filing Aug 7, 2026
First filing on the tape Sep 22, 2017 · 31 filings
SEC status approved since Oct 20, 2017
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$3.0B individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
28
22 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$3.2B as of Aug 7, 2026
Mar 29, 2018$610M then
HNW client RAUM$2.8B as of Aug 7, 2026
Mar 29, 2018$574M then
State-registered IARs (5.B.3)22 as of Aug 7, 2026
Mar 29, 20185 then
Employees (5.A)28 as of Aug 7, 2026
Mar 29, 20187 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 19 to 22
Practice profile
derived from the filing of Aug 7, 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
- 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)
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $777,828derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +16%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $1.5B, 510 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$2.8B88%
- Individuals$207M6.5%
- Pension and profit-sharing plans$113M3.5%
- Corporations and businesses$76.0M2.4%
- Charitable organizations$2.7M0.1%
- Individual clients
- 560reported
- HNW clients
- 613reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 4,120reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 510 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••• H•••••••Certified Financial Planner | Westport, Ct | Oct 31, 2017 | 31 y | 2 |
| R••••• S•••••• P•••••••Certified Financial Planner | Madison, Ct | Oct 31, 2017 | 25 y | 3 |
| M•••••• J••••• C•••••••• | Madison, Ct | Oct 31, 2017 | 12 y | 1 |
| C•••• M•••••• D••••Certified Financial Planner | Madison, Ct | Jul 2, 2018 | 17 y | 4 |
| A••••• J••• C•••••Certified Financial Planner, Chartered Financial Consultant | Madison, Ct | Jan 31, 2020 | 12 y | 0 |
| J••••• L•• O•••••• | Westport, Ct | Apr 17, 2020 | 28 y | 1 |
| A•• A••••• L••••• | Madison, Ct | Dec 8, 2020 | 27 y | 3 |
| J••••• A•••••• M••••• | Palm Beach Gardens, Fl | Dec 8, 2020 | 28 y | 4 |
| T•••••• V••••• D•••••••• | Madison, Ct | Dec 8, 2020 | 31 y | 4 |
| C••••••••• J••••• M••••Certified Financial Planner | Madison, Ct | Feb 25, 2021 | 13 y | 1 |
| R•••••••• B••••• K•••••• | Madison, Ct | Dec 20, 2021 | 26 y | 0 |
| G•••• S•••• Z••••••••Certified Financial Planner | Madison, Ct | Jan 7, 2022 | 19 y | 2 |
| M••••••• O••••• M••••• | Madison, Ct | Jan 27, 2023 | 29 y | 3 |
| J••••• R• O••••••••Certified Financial Planner | Madison, Ct | Apr 28, 2023 | 12 y | 1 |
| J••• L••• B••••••• | Madison, Ct | May 9, 2023 | 10 y | 1 |
| K••• J••••• F••••••Chartered Financial Analyst | Madison, Ct | Aug 11, 2023 | 11 y | 0 |
| R••• S•••• F•••••••••Certified Financial Planner | Madison, Ct | Feb 26, 2024 | 11 y | 0 |
| A•••• L••••• H••••••• | Madison, Ct | Apr 1, 2025 | 15 y | 0 |
| B•••• J•••• G•••••• | Madison, Ct | Jun 3, 2025 | 11 y | 0 |
| T•••• A•• P•••••• | Madison, Ct | Jun 4, 2025 | 13 y | 1 |
| D•••• C• C••••••• | Madison, Ct | May 14, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L•••• T• N•••••• to M•• W••••• A•••••••Apr 6, 2023 · RIA to RIA
- M••••• J• W•••••• to M••••• S••••••Jan 5, 2022 · RIA to wirehouse
- L••••••• L• D•••• to M••••• S••••••Sep 15, 2021 · RIA to wirehouse
- K•••• J••••• L•••• to B• R•••• W••••• A•••••••• I•••Jan 17, 2020 · RIA to affiliated broker-dealer or bank
- P••••••• L••• B•••• to H•••••••• A•••••••• L••Oct 25, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• C• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 14, 2026 · Wirehouse to independent RIA
- T•••• A•• P•••••• from C••••••••• F•••••••• N••••••Jun 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• L••• B••••••• from J••••• M••••••••• S•••• L••May 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• R• O•••••••• from P••••• I••••••••• M••••••••• L••Apr 28, 2023 · Other
- G•••• S•••• Z•••••••• from R•• C•••••• M••••••• L••Jan 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J••••• M•••• from T••••••••• W•••••• L••Feb 25, 2021 · RIA to RIA
- T•••••• V••••• D•••••••• from N•••••••• W••••• P••••••• L••Dec 8, 2020 · RIA to RIA
- J••••• A•••••• M••••• from N•••••••• W••••• P••••••• L••Dec 8, 2020 · RIA to RIA
- A•• A••••• L••••• from N•••••••• W••••• P••••••• L••Dec 8, 2020 · RIA to RIA
- L••••••• L• D•••• from N•••••••• W••••• P••••••• L••Dec 8, 2020 · RIA to RIA
- M••••• J• W•••••• from E•••• F•••••••• S•••••••• I•••Oct 2, 2020 · RIA to RIA
- J••••• L•• O•••••• from L•••• A••••• • C•• L••Apr 17, 2020 · Other
- M••••••• O••••• M••••• from O••••••••• S••••••••• I•••Sep 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- P••••••• L••• B•••• from D•••••• W••••• M••••••••• L••Mar 12, 2019 · RIA to RIA
- C•••• M•••••• D•••• from N•••••••• W••••• P••••••• L••Jul 2, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•••••••• W••••• P••••••• L••Dec 14, 2020 · Old Saybrook, Ct
- 4 joined from E•••• F•••••••• S•••••••• I•••Oct 30, 2017 · E••••, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M••••••• J••••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- P•••••••• R•••••• S•••••• · Chief Executive Officer, Managing Membercontrolsince 10/2017 · owns less than 5%
- O••••••• J•••••• L•• · Director/ Business Developmentsince 07/2020 · owns 5% to 10%
Entity owners
- P•••••••• W••••• H••••••• L•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Madison, Ct · principal | 21 | 1 | 0 | ||
| Westport, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Westport, CT1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 3,732 to 4,120Nov 7, 2025 to Mar 10, 2026
- Advisory employees · 19 to 22Nov 7, 2025 to Mar 10, 2026
- Advisory activities · 4 to 5Nov 7, 2025 to Mar 10, 2026
- Corporate clients · 16 to 17Nov 7, 2025 to Mar 10, 2026
- HNW clients · 506 to 613Nov 7, 2025 to Mar 10, 2026
- Individual clients · 551 to 560Nov 7, 2025 to Mar 10, 2026
- Assets in custody · $1.3B to $1.5BNov 7, 2025 to Mar 10, 2026
- Employees · 25 to 28Nov 7, 2025 to Mar 10, 2026
- State-registered IARs · 19 to 22Nov 7, 2025 to Mar 10, 2026
- Discretionary RAUM · $2.7B to $3.2BNov 7, 2025 to Mar 10, 2026
- HNW RAUM · $2.3B to $2.8BNov 7, 2025 to Mar 10, 2026
- Individual RAUM · $200M to $207MNov 7, 2025 to Mar 10, 2026
- Pension RAUM · $101M to $113MNov 7, 2025 to Mar 10, 2026
- RAUM · $2.7B to $3.2BNov 7, 2025 to Mar 10, 2026
- Accounts · 3,356 to 3,732Jan 10, 2025 to Apr 21, 2025
- Advisory employees · 21 to 19Jan 10, 2025 to Apr 21, 2025
- Corporate clients · 14 to 16Jan 10, 2025 to Apr 21, 2025
- HNW clients · 436 to 506Jan 10, 2025 to Apr 21, 2025
- Individual clients · 529 to 551Jan 10, 2025 to Apr 21, 2025
- Pension plan clients · 14 to 20Jan 10, 2025 to Apr 21, 2025
- Assets in custody · $1.0B to $1.3BJan 10, 2025 to Apr 21, 2025
- Financial planning clients · 251-500 to More than 500Jan 10, 2025 to Apr 21, 2025
- State-registered IARs · 20 to 19Jan 10, 2025 to Apr 21, 2025
- Other offices · 3 to 2Jan 10, 2025 to Apr 21, 2025
- Discretionary RAUM · $2.2B to $2.7BJan 10, 2025 to Apr 21, 2025
- HNW RAUM · $1.9B to $2.3BJan 10, 2025 to Apr 21, 2025
- Individual RAUM · $184M to $200MJan 10, 2025 to Apr 21, 2025
- Pension RAUM · $45.6M to $101MJan 10, 2025 to Apr 21, 2025
- RAUM · $2.2B to $2.7BJan 10, 2025 to Apr 21, 2025
- Business name · P•••••••• W••••• P••••••• L•• to P•••••••• W•••••Mar 19, 2024 to Aug 6, 2024
- Accounts · 3,118 to 3,356May 9, 2023 to Mar 19, 2024
- Advisory employees · 15 to 21May 9, 2023 to Mar 19, 2024
- HNW clients · 398 to 436May 9, 2023 to Mar 19, 2024
- Individual clients · 524 to 529May 9, 2023 to Mar 19, 2024
- Pension plan clients · 16 to 14May 9, 2023 to Mar 19, 2024
- Assets in custody · $816M to $1.0BMay 9, 2023 to Mar 19, 2024
- Employees · 22 to 25May 9, 2023 to Mar 19, 2024
- State-registered IARs · 15 to 20May 9, 2023 to Mar 19, 2024
- Other offices · 4 to 3May 9, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.9B to $2.2BMay 9, 2023 to Mar 19, 2024
Signals
6 dated events
- L•••• T• N•••••• left P•••••••• W••••• for M•• W••••• A••••••• (registered 2023-06-12)Apr 6, 2023 · Advisor changed firm · fact
- M••••• J• W•••••• left P•••••••• W••••• for M••••• S•••••• (registered 2022-01-21)Jan 5, 2022 · Advisor changed firm · fact
- P•••••••• W••••• reported RAUM $1.8B, up 125% from $783.3M (2020-12-02 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Lynn Patricia Brady (Chief Operating Officer) no longer on Schedule A of P•••••••• W••••• (listed 2019-05-31, absent 2019-10-28)Oct 28, 2019 · Control person left · inference
- Lynn Patricia Brady (Chief Operating Officer) appeared on Schedule A of P•••••••• W•••••Mar 19, 2019 · Control person joined · fact
- P•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Sep 22, 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 phone
- 203-318-8892reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P••••••••-WEALTH-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••••••WEALTHPARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-318-8892reportedpublic record, Form ADV, Aug 7, 2026
- Contact form
- principlewealthpartners.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- principlewealthpartners.com/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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026