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
T•••••• P•••• A•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Jan 11, 2018 · 25 filings
SEC status approved since Feb 9, 2018
RAUM
$1.6B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
89%
$1.4B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
38
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.6B as of Mar 6, 2026
Mar 12, 2019$489M then
HNW client RAUM$1.3B as of Mar 6, 2026
Mar 12, 2019$395M then
State-registered IARs (5.B.3)12 as of Mar 6, 2026
Mar 12, 20195 then
Employees (5.A)38 as of Mar 6, 2026
Mar 12, 201918 then
Private funds: no history
RAUM +9.4% over the last fiscal year+38% a year over threeIARs 9 to 12offices 5 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $693,008derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $155M, 146 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B80%
- Pension and profit-sharing plans$171M11%
- Individuals$147M9.0%
- Corporations and businesses$6.3M0.4%
- Charitable organizations$4.7M0.3%
- Individual clients
- 467reported
- HNW clients
- 319reported
- Pension plan clients
- 62reported
- Charitable clients
- 2reported
- Accounts
- 2,348reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $155M for 146 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=13.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• L•••• S•••• | Wilton, Ct | May 15, 2018 | 10 y | 2 |
| D•••• G••• H•••••Chartered Financial Consultant | Wilton, Ct | May 15, 2018 | 36 y | 2 |
| L•• S•••• R••••••• | Wilton, Ct | May 16, 2018 | 42 y | 3 |
| P••• R••••• V•••• | Wilton, Ct | May 16, 2018 | 31 y | 3 |
| E•••• B•••• | Old Greenwich, Ct | Dec 13, 2018 | 13 y | 0 |
| E••••• J• S•••••••• | Stamford, Ct | Jun 13, 2019 | 39 y | 2 |
| G••• R• | Stamford, Ct | Jun 25, 2019 | 21 y | 3 |
| S•••••• T••••• H•••••• | White Plains, Ny | Dec 15, 2023 | 21 y | 2 |
| G••••• R••••• G•••••• | Wilton, Ct | Dec 15, 2023 | 18 y | 2 |
| R•• A••••• P••Certified Financial Planner | White Plains, Ny | Dec 15, 2023 | 16 y | 2 |
| J•••• A• S••••••Certified Financial Planner, Chartered Financial Consultant | Melville, Ny | Dec 15, 2023 | 17 y | 2 |
| C••• C••••• | Wilton, Ct | Dec 15, 2023 | 12 y | 2 |
| Z•••• R••• E•••••••••Certified Financial Planner | White Plains, Ny | Jan 2, 2024 | 28 y | 1 |
| M•••••• A•••••• C••••• | Wilton, Ct | May 23, 2025 | 14 y | 2 |
| J•••• A•••• T•••••••Chartered Financial Consultant | White Plains, Ny | Oct 23, 2025 | 42 y | 2 |
| B••••• J• S••••••Certified Financial Planner | White Plains, Ny | May 12, 2026 | 12 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- B•••••• L••••• to C•••••••• A•••••••• L••May 14, 2024 · RIA to RIA
- E••• M•••••• to A•••• Z••• L••May 6, 2022 · RIA to a newly registered adviser
- J••••• M•••••• G•••••••• to A•••• Z••• L••May 6, 2022 · RIA to a newly registered adviser
- A•••••• W••••• L•••• to A•••• Z••• L••May 6, 2022 · RIA to a newly registered adviser
- J••• A••••••• S••••••• to A•••• Z••• L••May 6, 2022 · RIA to a newly registered adviser
- S••••• C• P•••••••• to M••••• W•••••• L••Mar 14, 2022 · RIA to RIA
Joined, latest
- B••••• J• S•••••• from H•• I••••••••• A••••••• I••May 12, 2026 · RIA to RIA
- J•••• A•••• T••••••• from M•• I•••••••• S•••••••• L••Oct 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• C••••• from A••••• W••••• M•••••••••May 23, 2025 · RIA to RIA
- Z•••• R••• E••••••••• from A••••••••• F•••••••• S•••••••• L••Jan 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••••• L••••• from L•• F•••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- G••••• R••••• G•••••• from M•• I•••••••• S•••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• A• S•••••• from M•• I•••••••• S•••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•• A••••• P•• from M•• I•••••••• S•••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••• C••••• from M•• I•••••••• S•••••••• L••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••••• T••••• H•••••• from M•• F•••••••• S•••••••• I•••Dec 15, 2023 · Other
- S••••• C• P•••••••• from U•• F•••••••• S••••••• I•••Feb 4, 2021 · Wirehouse to independent RIA
- E••• M•••••• from M•• I•••••••• S•••••••• L••Feb 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- A•••••• W••••• L•••• from M•• I•••••••• S•••••••• L••Feb 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- G••• R• from K••••• A••••••• S•••••••• L••Jun 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- E••••• J• S•••••••• from K••••• A••••••• S•••••••• L••Jun 13, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for A•••• Z••• L••May 6, 2022 · Wilton, Ct
- 4 joined from M•• I•••••••• S•••••••• L••Oct 1, 2020 · Elmsford, Ny
- 2 joined from M•• I•••••••• S•••••••• L••Mar 4, 2020 · Shelton, Ct
- 3 joined from K••••• A••••••• S•••••••• L••May 23, 2018 · Westport, Ct
- 2 joined from K••••• A••••••• S•••••••• L••May 17, 2018 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• G•••••• R••••• · Managing Partner, Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- H•••••• D••••• G••• · Managing Partnercontrolsince 05/2018 · owns less than 5%
- P••• R••• A••••• · Managing Partnercontrolsince 12/2023 · owns less than 5%
- R•••••••• L••• S•••• · Managing Partnercontrolsince 05/2018 · owns less than 5%
- V••••• P•••• R••••• · Managing Principalcontrolsince 03/2020 · owns less than 5%
- G••••••• G•••••• R••••• · Managing Partnercontrolsince 12/2023 · owns 50% to 75% of T••• L••
- P••• R••• A••••• · Managing Partnercontrolsince 12/2023 · owns 50% to 75% of T••• L••
Entity owners
- T•••••• P•••• F•••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- T••• L•• · Controlling Entityindirect · owns 50% to 75% of T•••••• P•••• F•••••••• H•••••••• L••
Related persons
Schedule D 7.A
- T•••••• P•••• A••••••••• L••insurancey
- T•••••• P•••• I•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilton, Ct · principal | 13 | 2 | 0 | ||
| White Plains, Ny | 5 | 2 | 0 | ||
| Stamford, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY5 employees
- Fairfield, CT1 employees
- Melville, NY1 employees
- Ridgefield, CT1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 6, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,487,605,211 to $1,627,183,809, advisors 9 to 12, private clients 1051 to 786, offices 5 to 2 (2025-03-28 to 2026-03-06)peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 6, 2026R•••••••• L••• S•••• (MANAGING PARTNER) left Schedule A between the filings of 2024-01-11 and 2026-03-06peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 6, 2026H•••••• D••••• G••• (MANAGING PARTNER) left Schedule A between the filings of 2024-01-11 and 2026-03-06peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 6, 2026V••••• P•••• R••••• (MANAGING PRINCIPAL) left Schedule A between the filings of 2024-01-11 and 2026-03-06peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Mar 6, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-19, yes on the filing of 2026-03-06peers: independent wealth managers, $1B to $5B (1,362)
- discretionary share shiftChange between filings · filing Mar 6, 2026discretionary share of RAUM moved from 61.0% to 89.0% between the annual amendments of 2025-03-28 and 2026-03-06peers: independent wealth managers, $1B to $5B (1,362)
- office count dropChange between filings · filing Mar 6, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 2.0 (-60.0%) between the annual amendments of 2025-03-28 and 2026-03-06; the peer median change was 0.0% (379 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 3,177 to 2,348Sep 19, 2025 to Mar 6, 2026
- Advisory employees · 23 to 12Sep 19, 2025 to Mar 6, 2026
- BD registered reps · 14 to 13Sep 19, 2025 to Mar 6, 2026
- Charity clients · unset to 2.0Sep 19, 2025 to Mar 6, 2026
- HNW clients · 290 to 319Sep 19, 2025 to Mar 6, 2026
- Individual clients · 761 to 467Sep 19, 2025 to Mar 6, 2026
- Pension plan clients · 61 to 62Sep 19, 2025 to Mar 6, 2026
- Assets in custody · unset to 155321879.0Sep 19, 2025 to Mar 6, 2026
- Custody of client assets · false to trueSep 19, 2025 to Mar 6, 2026
- Employees · 35 to 38Sep 19, 2025 to Mar 6, 2026
- Financial planning clients · 11-25 to 1-10Sep 19, 2025 to Mar 6, 2026
- State-registered IARs · 9 to 12Sep 19, 2025 to Mar 6, 2026
- Discretionary RAUM · $912M to $1.5BSep 19, 2025 to Mar 6, 2026
- HNW RAUM · $1.1B to $1.3BSep 19, 2025 to Mar 6, 2026
- Individual RAUM · $215M to $147MSep 19, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $576M to $171MSep 19, 2025 to Mar 6, 2026
- Pension RAUM · $136M to $171MSep 19, 2025 to Mar 6, 2026
- RAUM · $1.5B to $1.6BSep 19, 2025 to Mar 6, 2026
- HQ city · WESTPORT to WILTONMar 28, 2025 to Aug 6, 2025
- Other offices · 5 to 2Mar 28, 2025 to Aug 6, 2025
- Accounts · 938 to 3,177Sep 19, 2024 to Mar 28, 2025
- Advisory employees · 14 to 23Sep 19, 2024 to Mar 28, 2025
- BD registered reps · 17 to 14Sep 19, 2024 to Mar 28, 2025
- HNW clients · 158 to 290Sep 19, 2024 to Mar 28, 2025
- Individual clients · 130 to 761Sep 19, 2024 to Mar 28, 2025
- Pension plan clients · 35 to 61Sep 19, 2024 to Mar 28, 2025
- Employees · 39 to 35Sep 19, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Sep 19, 2024 to Mar 28, 2025
- State-registered IARs · 14 to 9Sep 19, 2024 to Mar 28, 2025
- Other offices · 4 to 5Sep 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $618M to $912MSep 19, 2024 to Mar 28, 2025
- HNW RAUM · $571M to $1.1BSep 19, 2024 to Mar 28, 2025
- Individual RAUM · $46.9M to $215MSep 19, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $98.4M to $576MSep 19, 2024 to Mar 28, 2025
- Pension RAUM · $98.4M to $136MSep 19, 2024 to Mar 28, 2025
- RAUM · $716M to $1.5BSep 19, 2024 to Mar 28, 2025
- Other offices · 3 to 4Apr 11, 2024 to Aug 2, 2024
- Accounts · 898 to 938Dec 15, 2023 to Jan 11, 2024
- Advisory employees · 4 to 14Dec 15, 2023 to Jan 11, 2024
- BD registered reps · 8 to 17Dec 15, 2023 to Jan 11, 2024
Signals
16 dated events
- T•••••• P•••• A•••••••• L•• reported RAUM $1.5B, up 108% from $716.2M (2024-09-19 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- B•••••• L••••• left T•••••• P•••• A•••••••• L•• for C•••••••• A•••••••• L•• (registered 2024-06-17)May 14, 2024 · Advisor changed firm · fact
- Ann Carol Robertson (Chief Compliance Officer) no longer on Schedule A of T•••••• P•••• A•••••••• L•• (listed 2024-01-11, absent 2024-04-11)Apr 11, 2024 · Control person left · inference
- T•••••• P•••• A•••••••• L•• reported 14 state-registered advisory representatives, up from 4 (2023-12-15 to 2024-01-11)Jan 11, 2024 · Advisor headcount change · derived
- Andrew Ron Pac (Managing Partner) appeared on Schedule A of T•••••• P•••• A•••••••• L••Dec 15, 2023 · Control person joined · fact
- Robert George Gerhard (Managing Partner) appeared on Schedule A of T•••••• P•••• A•••••••• L••Dec 15, 2023 · Control person joined · fact
- A•••••• W••••• L•••• left T•••••• P•••• A•••••••• L•• for A•••• Z••• L•• (registered 2022-06-21)May 6, 2022 · Advisor changed firm · fact
- J••• A••••••• S••••••• left T•••••• P•••• A•••••••• L•• for A•••• Z••• L•• (registered 2022-05-06)May 6, 2022 · Advisor changed firm · fact
- E••• M•••••• left T•••••• P•••• A•••••••• L•• for A•••• Z••• L•• (registered 2022-05-06)May 6, 2022 · Advisor changed firm · fact
- J••••• M•••••• G•••••••• left T•••••• P•••• A•••••••• L•• for A•••• Z••• L•• (registered 2022-07-05)May 6, 2022 · Advisor changed firm · fact
- 4 advisors left T•••••• P•••• A•••••••• L•• (Wilton, CT) for A•••• Z••• L•• on the same dayMay 6, 2022 · Team lift-out · derived
- S••••• C• P•••••••• left T•••••• P•••• A•••••••• L•• for M••••• W•••••• L•• (registered 2022-03-24)Mar 14, 2022 · Advisor changed firm · fact
- Robert Paul Volpe (Managing Principal) appeared on Schedule A of T•••••• P•••• A•••••••• L••Apr 7, 2020 · Control person joined · fact
- T•••••• P•••• A•••••••• L•• reported RAUM $619.0M, up 27% from $488.9M (2019-03-12 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- T•••••• P•••• A•••••••• L•• reported RAUM $488.9M, up 189% from $169.1M (2018-06-07 to 2019-03-12)Mar 12, 2019 · RAUM change · derived
- P••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 11, 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
- Business email
- info@triviumpoint.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-221-3085reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-438-0444reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-730-0330reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- triviumpoint.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 221-3085reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- triviumpoint.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- triviumpoint.com/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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026