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

P••••••• S••••• W••••• A•••••••• L••

Former SEC-registered adviserCRD 291962SEC 801-128550IAPD
Latest filing Aug 12, 2024
First filing on the tape Feb 21, 2018 · 27 filings
RAUM
$113M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
77%
$87.0M 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
27 filings and snapshots on the tape
RAUM$113M as of Feb 9, 2024
Feb 25, 2019$13.2M then
HNW client RAUM$69.7M as of Feb 9, 2024
Feb 25, 2019$12.0M then
State-registered IARs (5.B.3)2 as of Feb 9, 2024
Feb 25, 20192 then
Employees (5.A)3 as of Feb 9, 2024
Feb 25, 20192 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 12, 2024; every figure names its basis
RAUM per advisor
$56.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$578,376derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$87.0MreportedItem 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
  • High-net-worth individuals$69.7M61%
  • Pension and profit-sharing plans$26.3M23%
  • Individuals$17.4M15%
Individual clients
65reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
196reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N••••• T•••••• A•••••••• · Manager And Chief Compliance Officercontrol
    since 04/2018 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Stamford, Ct000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Commission compensation · false to true
    Feb 9, 2024 to Aug 12, 2024
  • Accounts · 256 to 196
    Jan 11, 2024 to Feb 9, 2024
  • Corporate clients · 3.0 to unset
    Jan 11, 2024 to Feb 9, 2024
  • HNW clients · 18 to 20
    Jan 11, 2024 to Feb 9, 2024
  • Individual clients · 66 to 65
    Jan 11, 2024 to Feb 9, 2024
  • Financial planning clients · 1-10 to 0
    Jan 11, 2024 to Feb 9, 2024
  • Discretionary RAUM · $57.0M to $87.0M
    Jan 11, 2024 to Feb 9, 2024
  • HNW RAUM · $45.0M to $69.7M
    Jan 11, 2024 to Feb 9, 2024
  • Individual RAUM · $14.0M to $17.4M
    Jan 11, 2024 to Feb 9, 2024
  • Non-discretionary RAUM · $3.0M to $26.3M
    Jan 11, 2024 to Feb 9, 2024
  • Pension RAUM · unset to 26323514.0
    Jan 11, 2024 to Feb 9, 2024
  • RAUM · $60.0M to $113M
    Jan 11, 2024 to Feb 9, 2024
  • Accounts · 146 to 256
    Jun 19, 2019 to Jul 11, 2023
  • Advisory activities · 3 to 4
    Jun 19, 2019 to Jul 11, 2023
  • Corporate clients · unset to 3.0
    Jun 19, 2019 to Jul 11, 2023
  • HNW clients · 9 to 18
    Jun 19, 2019 to Jul 11, 2023
  • Individual clients · 55 to 66
    Jun 19, 2019 to Jul 11, 2023
  • Employees · 2 to 3
    Jun 19, 2019 to Jul 11, 2023
  • Discretionary RAUM · $13.2M to $57.0M
    Jun 19, 2019 to Jul 11, 2023
  • HNW RAUM · $12.0M to $45.0M
    Jun 19, 2019 to Jul 11, 2023
  • Individual RAUM · $1.2M to $14.0M
    Jun 19, 2019 to Jul 11, 2023
  • Non-discretionary RAUM · $0 to $3.0M
    Jun 19, 2019 to Jul 11, 2023
  • RAUM · $13.2M to $60.0M
    Jun 19, 2019 to Jul 11, 2023
  • Other offices · 0 to 1
    Apr 23, 2019 to Jun 19, 2019
  • Accounts · 66 to 146
    Dec 12, 2018 to Feb 25, 2019
  • HNW clients · 21 to 9
    Dec 12, 2018 to Feb 25, 2019
  • Individual clients · 17 to 55
    Dec 12, 2018 to Feb 25, 2019
  • Financial planning clients · 0 to 1-10
    Dec 12, 2018 to Feb 25, 2019
  • Other offices · 1 to 0
    Dec 12, 2018 to Feb 25, 2019
  • Discretionary RAUM · $11.1M to $13.2M
    Dec 12, 2018 to Feb 25, 2019
  • HNW RAUM · $10.0M to $12.0M
    Dec 12, 2018 to Feb 25, 2019
  • Individual RAUM · $1.0M to $1.2M
    Dec 12, 2018 to Feb 25, 2019
  • RAUM · $11.1M to $13.2M
    Dec 12, 2018 to Feb 25, 2019
  • BD registered reps · 0 to 1
    Nov 1, 2018 to Dec 7, 2018
  • BD registered reps · 2 to 0
    Oct 24, 2018 to Nov 1, 2018
  • Accounts · 0 to 66
    Jul 18, 2018 to Jul 20, 2018
  • Advisory activities · 2 to 3
    Jul 18, 2018 to Jul 20, 2018
  • HNW clients · unset to 21.0
    Jul 18, 2018 to Jul 20, 2018
  • Individual clients · unset to 17.0
    Jul 18, 2018 to Jul 20, 2018
  • Discretionary RAUM · $0 to $11.1M
    Jul 18, 2018 to Jul 20, 2018
Signals
4 dated events
  • T••••• A•••••••• N•••• left P••••••• S••••• W••••• A•••••••• L•• for Farther (registered 2024-06-04)
    Sep 10, 2024 · Advisor changed firm · fact
  • R•••• J••• N•••• (Member) no longer on Schedule A of P••••••• S••••• W••••• A•••••••• L•• (listed 2019-02-25, absent 2019-03-21)
    Mar 21, 2019 · Control person left · inference
  • M•••• N•••• N•••• (Chief Executive Officer) no longer on Schedule A of P••••••• S••••• W••••• A•••••••• L•• (listed 2018-12-12, absent 2019-02-25)
    Feb 25, 2019 · Control person left · inference
  • P••••••• S••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 21, 2018 · 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