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SEC-registered adviser

C•••• I••••• A••••••• L••

Independent wealth managerDarien, ConnecticutCRD 292058SEC 801-112465websiteIAPD
Latest filing Mar 31, 2023
First filing on the tape Jan 17, 2018 · 10 filings
SEC status approved since Feb 16, 2018
RAUM
$453M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$453M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$453M as of Mar 31, 2023
Mar 28, 2019$376M then
HNW client RAUM$453M as of Mar 31, 2023
Mar 28, 2019$376M then
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 28, 20191 then
Employees (5.A)1 as of Mar 31, 2023
Mar 28, 20191 then
Private funds: no history
RAUM -13% over the last fiscal year+0.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$453MderivedRAUM 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
$90.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$453M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• A••• · Managing Member & Chief Compliance Officercontrol
        since 11/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Hicksville, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 5
        Jan 28, 2022 to Mar 31, 2023
      • Advisory activities · 2 to 1
        Jan 28, 2022 to Mar 31, 2023
      • Discretionary RAUM · $40.7M to $453M
        Jan 28, 2022 to Mar 31, 2023
      • HNW RAUM · $523M to $453M
        Jan 28, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $482M to $0
        Jan 28, 2022 to Mar 31, 2023
      • RAUM · $523M to $453M
        Jan 28, 2022 to Mar 31, 2023
      • Accounts · 18 to 23
        Mar 24, 2021 to Jan 28, 2022
      • Discretionary RAUM · $95.6M to $40.7M
        Mar 24, 2021 to Jan 28, 2022
      • HNW RAUM · $398M to $523M
        Mar 24, 2021 to Jan 28, 2022
      • Non-discretionary RAUM · $303M to $482M
        Mar 24, 2021 to Jan 28, 2022
      • RAUM · $398M to $523M
        Mar 24, 2021 to Jan 28, 2022
      • Accounts · 28 to 18
        Nov 18, 2020 to Mar 24, 2021
      • Financial planning clients · 1-10 to unset
        Nov 18, 2020 to Mar 24, 2021
      • Discretionary RAUM · $137M to $95.6M
        Nov 18, 2020 to Mar 24, 2021
      • HNW RAUM · $445M to $398M
        Nov 18, 2020 to Mar 24, 2021
      • Non-discretionary RAUM · $308M to $303M
        Nov 18, 2020 to Mar 24, 2021
      • RAUM · $445M to $398M
        Nov 18, 2020 to Mar 24, 2021
      • Accounts · 2 to 28
        Mar 28, 2019 to Feb 7, 2020
      • Discretionary RAUM · $76.0M to $137M
        Mar 28, 2019 to Feb 7, 2020
      • HNW RAUM · $376M to $445M
        Mar 28, 2019 to Feb 7, 2020
      • Non-discretionary RAUM · $300M to $308M
        Mar 28, 2019 to Feb 7, 2020
      • RAUM · $376M to $445M
        Mar 28, 2019 to Feb 7, 2020
      • Wrap assets (manager) · 1.0 to unset
        Mar 28, 2019 to Feb 7, 2020
      • Wrap assets (sponsor) · 1.0 to unset
        Mar 28, 2019 to Feb 7, 2020
      • Accounts · 9 to 2
        Jun 7, 2018 to Mar 28, 2019
      • Financial planning clients · unset to 1-10
        Jun 7, 2018 to Mar 28, 2019
      • Discretionary RAUM · $104M to $76.0M
        Jun 7, 2018 to Mar 28, 2019
      • HNW RAUM · unset to 376000000.0
        Jun 7, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $0 to $300M
        Jun 7, 2018 to Mar 28, 2019
      • RAUM · $104M to $376M
        Jun 7, 2018 to Mar 28, 2019
      • Accounts · 0 to 9
        Jan 23, 2018 to Jun 7, 2018
      • Discretionary RAUM · $0 to $104M
        Jan 23, 2018 to Jun 7, 2018
      • RAUM · $0 to $104M
        Jan 23, 2018 to Jun 7, 2018
      Signals
      3 dated events
      • C•••• I••••• A••••••• L•• reported RAUM $522.5M, up 31% from $398.2M (2021-03-24 to 2022-01-28)
        Jan 28, 2022 · RAUM change · derived
      • C•••• I••••• A••••••• L•• reported RAUM $376.0M, up 262% from $104.0M (2018-06-07 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • C•••• I••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 17, 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.
      How to reach
      public business contact points only, each with its source
      Website
      C••••I•••••ADVISORS.COMreportedpublic record, Form ADV, Mar 31, 2023
      Principal office phone
      203-252-7654reportedpublic record, Form ADV, Mar 31, 2023
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026