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.

Former SEC-registered adviser

People'S United Advisors, Inc.

Former SEC-registered adviserBridgeport, ConnecticutCRD 292454SEC 801-112648IAPD
Latest filing Aug 1, 2024
First filing on the tape Feb 15, 2018 · 43 filings
RAUM
$845M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$747M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
53
27 advisory (5.B.1)
Offices
43
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$845M as of Mar 28, 2024
Mar 29, 2019$8.5B then
HNW client RAUM$647M as of Mar 28, 2024
Mar 29, 2019$2.8B then
State-registered IARs (5.B.3)10 as of Mar 28, 2024
Mar 29, 201995 then
Employees (5.A)53 as of Mar 28, 2024
Mar 29, 2019140 then
Private funds: no history
RAUM -41% over the last fiscal year-55% a year over threeIARs 31 to 10
Practice profile
derived from the filing of Aug 1, 2024; every figure names its basis
RAUM per advisor
$84.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
92derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$407,134derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.3derivedItem 5.A over advisors
Advisors per office
0.2derived44 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
-68%derivedItem 5.B.3 between annual amendments
Client growth, one year
-40%derived
Compensation
percentage of assets, hourly, 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
Wrap fee program
$61.8MreportedItem 5.I
Custody
$1.4B, 1,700 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$647M77%
  • Individuals$101M12%
  • Corporations and businesses$46.8M5.5%
  • Charitable organizations$34.3M4.1%
  • Other investment advisers$16.8M2.0%
  • Pension and profit-sharing plans$140.0%
Individual clients
634reported
HNW clients
285reported
Pension plan clients
1reported
Charitable clients
13reported
Accounts
2,076reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $776,723 managedreported
Custody of client assets
$1.4B for 1,700 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E. Gerald Baker · Directorcontrol
      since 06/2024 · owns less than 5%
    • Riley Abigail Mrozinski · Directorcontrol
      since 06/2024 · owns less than 5%
    • Michael Anthony Roth · President & Chief Investmentofficer, Directorcontrol
      since 02/2015 · owns less than 5%
    • Jennifer Edna Warren · Chair Of The Board And Chief Executive Officercontrol
      since 06/2022 · owns less than 5%
    • John Andrew Baldauf · Chief Compliance Officer
      since 09/2022 · owns less than 5%
    Entity owners
    • Manufacturers And Traders Trust Company · Sole Stockholder
      direct · owns 75% or more
    • M&T Bank Corporation · Sole Stockholder
      indirect · owns 75% or more of Manufacturers And Traders Trust Company · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list People'S United Advisors, Inc. as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Wilmington, De000
    Offices
    Schedule D 1.F, the 25 largest
    • Burlington, VT12 employees
    • New York, NY10 employees
    • Cos Cob, CT5 employees
    • Wethersfield, CT4 employees
    • Portland, ME4 employees
    • Fairfield, CT3 employees
    • Bridgeport, CT2 employees
    • Rutland, VT2 employees
    • Bayport, NY2 employees
    • Wellesley, MA2 employees
    • Danvers, MA2 employees
    • Porstmouth, NH2 employees
    • Bennington, VT2 employees
    • Trumbull, CT2 employees
    • Montpelier, VT1 employees
    • Springfield, VT1 employees
    • Westport, CT1 employees
    • Peterborough, NH1 employees
    • Milford, CT1 employees
    • Boston, MA1 employees
    • West Haverstraw, NY1 employees
    • Shelton, CT1 employees
    • Boston, MA1 employees
    • , 1 employees
    • Hauppauge, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,616 to 2,076
      Sep 1, 2023 to Mar 28, 2024
    • Charity clients · 20 to 13
      Sep 1, 2023 to Mar 28, 2024
    • Corporate clients · 16 to 10
      Sep 1, 2023 to Mar 28, 2024
    • HNW clients · 394 to 285
      Sep 1, 2023 to Mar 28, 2024
    • Individual clients · 1,134 to 634
      Sep 1, 2023 to Mar 28, 2024
    • State-registered IARs · 31 to 10
      Sep 1, 2023 to Mar 28, 2024
    • Discretionary RAUM · $1.4B to $840M
      Sep 1, 2023 to Mar 28, 2024
    • HNW RAUM · $1.0B to $647M
      Sep 1, 2023 to Mar 28, 2024
    • Individual RAUM · $220M to $101M
      Sep 1, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $30.4M to $5.5M
      Sep 1, 2023 to Mar 28, 2024
    • RAUM · $1.4B to $845M
      Sep 1, 2023 to Mar 28, 2024
    • Accounts · 9,162 to 3,616
      Jan 3, 2023 to Mar 30, 2023
    • Advisory employees · 95 to 27
      Jan 3, 2023 to Mar 30, 2023
    • BD registered reps · 90 to 26
      Jan 3, 2023 to Mar 30, 2023
    • Charity clients · 175 to 20
      Jan 3, 2023 to Mar 30, 2023
    • Corporate clients · 82 to 16
      Jan 3, 2023 to Mar 30, 2023
    • HNW clients · 924 to 394
      Jan 3, 2023 to Mar 30, 2023
    • Individual clients · 1,984 to 1,134
      Jan 3, 2023 to Mar 30, 2023
    • Pension plan clients · 15 to 1
      Jan 3, 2023 to Mar 30, 2023
    • Employees · 185 to 53
      Jan 3, 2023 to Mar 30, 2023
    • State-registered IARs · 110 to 31
      Jan 3, 2023 to Mar 30, 2023
    • Discretionary RAUM · $8.2B to $1.4B
      Jan 3, 2023 to Mar 30, 2023
    • HNW RAUM · $2.9B to $1.0B
      Jan 3, 2023 to Mar 30, 2023
    • Individual RAUM · $589M to $220M
      Jan 3, 2023 to Mar 30, 2023
    • Non-discretionary RAUM · $987M to $30.4M
      Jan 3, 2023 to Mar 30, 2023
    • Pension RAUM · $159M to $14
      Jan 3, 2023 to Mar 30, 2023
    • RAUM · $9.2B to $1.4B
      Jan 3, 2023 to Mar 30, 2023
    • Related adviser · false to true
      Mar 31, 2022 to Apr 14, 2022
    • Related bank · false to true
      Mar 31, 2022 to Apr 14, 2022
    • Accounts · 10,773 to 9,162
      Feb 1, 2022 to Mar 31, 2022
    • Advisory employees · 115 to 95
      Feb 1, 2022 to Mar 31, 2022
    • BD registered reps · 175 to 90
      Feb 1, 2022 to Mar 31, 2022
    • Charity clients · 191 to 175
      Feb 1, 2022 to Mar 31, 2022
    • Corporate clients · 77 to 82
      Feb 1, 2022 to Mar 31, 2022
    • HNW clients · 1,005 to 924
      Feb 1, 2022 to Mar 31, 2022
    • Individual clients · 2,158 to 1,984
      Feb 1, 2022 to Mar 31, 2022
    • Pension plan clients · 25 to 15
      Feb 1, 2022 to Mar 31, 2022
    • Assets in custody · $1.8B to $1.4B
      Feb 1, 2022 to Mar 31, 2022
    • Employees · 200 to 185
      Feb 1, 2022 to Mar 31, 2022
    • State-registered IARs · 125 to 110
      Feb 1, 2022 to Mar 31, 2022
    Signals
    60 dated events
    • People'S United Advisors, Inc.'s advisors moved to Wilmington Trust Investment Advisors, Inc. (Wilmington, DE): 4 of 4 registered, on the same day
      Sep 10, 2024 · Firm absorbed (people side) · derived
    • Wesley Eric Taylor (Director) no longer on Schedule A of People'S United Advisors, Inc. (listed 2024-06-24, absent 2024-08-01)
      Aug 1, 2024 · Control person left · inference
    • Powers Doris Meister (Chair Of The Board And Chiefexecutive Officer) no longer on Schedule A of People'S United Advisors, Inc. (listed 2024-03-28, absent 2024-06-24)
      Jun 24, 2024 · Control person left · inference
    • J Kevin Pearson (Director) no longer on Schedule A of People'S United Advisors, Inc. (listed 2024-03-28, absent 2024-06-24)
      Jun 24, 2024 · Control person left · inference
    • E. Gerald Baker (Executive Vice President) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 24, 2024 · Control person joined · fact
    • Riley Abigail Mrozinski (Senior Executive Vice President) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 24, 2024 · Control person joined · fact
    • People'S United Advisors, Inc. reported 10 state-registered advisory representatives, down from 31 (2023-09-01 to 2024-03-28)
      Mar 28, 2024 · Advisor headcount change · derived
    • People'S United Advisors, Inc. reported RAUM $845.2M, down 41% from $1.4B (2023-09-01 to 2024-03-28)
      Mar 28, 2024 · RAUM change · derived
    • Jarrod Saburo Imatani left People'S United Advisors, Inc. for D.A. Davidson & Co. (registered 2024-03-12)
      Feb 8, 2024 · Advisor changed firm · fact
    • Max Johann Rooney left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2023-06-08)
      Nov 15, 2023 · Advisor changed firm · fact
    • Robert Harvard Kinnie left People'S United Advisors, Inc. for Napatree Capital Llc (registered 2023-08-22)
      Aug 28, 2023 · Advisor changed firm · fact
    • Powers Doris Meister (Chair Of The Board And Chiefexecutive Officer) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 23, 2023 · Control person joined · fact
    • J Kevin Pearson (Director) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 23, 2023 · Control person joined · fact
    • Michael Anthony Roth (President & Chief Investmentofficer, Director) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 23, 2023 · Control person joined · fact
    • Wesley Eric Taylor (Director) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 23, 2023 · Control person joined · fact
    • Jennifer Edna Warren (Director) appeared on Schedule A of People'S United Advisors, Inc.
      Jun 23, 2023 · Control person joined · fact
    • Emily Sui-Ling Medrek left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2026-03-03)
      Apr 25, 2023 · Advisor changed firm · fact
    • Chet Dylan Schwartz left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2023-01-13)
      Apr 19, 2023 · Advisor changed firm · fact
    • 2 advisors left People'S United Advisors, Inc. (Wilmington, DE) for LPL Financial LLC within 6 days
      Apr 19, 2023 · Team lift-out · derived
    • Steven John Traynor (Chief Investment Officer) no longer on Schedule A of People'S United Advisors, Inc. (listed 2023-03-30, absent 2023-04-13)
      Apr 13, 2023 · Control person left · inference
    • G Daniel Roberts (Director) no longer on Schedule A of People'S United Advisors, Inc. (listed 2023-03-30, absent 2023-04-13)
      Apr 13, 2023 · Control person left · inference
    • Mather Michael Boardman (President / Director) no longer on Schedule A of People'S United Advisors, Inc. (listed 2023-03-30, absent 2023-04-13)
      Apr 13, 2023 · Control person left · inference
    • Victoria Bova (Director) no longer on Schedule A of People'S United Advisors, Inc. (listed 2023-03-30, absent 2023-04-13)
      Apr 13, 2023 · Control person left · inference
    • People'S United Advisors, Inc. reported 31 state-registered advisory representatives, down from 110 (2023-01-03 to 2023-03-30)
      Mar 30, 2023 · Advisor headcount change · derived
    • People'S United Advisors, Inc. reported RAUM $1.4B, down 84% from $9.2B (2023-01-03 to 2023-03-30)
      Mar 30, 2023 · RAUM change · derived
    • Thomas Alfred Sawyer left People'S United Advisors, Inc. for Wellth Advisory Services, Llc (registered 2025-03-27)
      Dec 31, 2022 · Advisor changed firm · fact
    • Zuzana Kuzelova Brochu left People'S United Advisors, Inc. for Mascoma Wealth Management (registered 2023-01-12)
      Dec 31, 2022 · Advisor changed firm · fact
    • Christopher Alcorn Childs left People'S United Advisors, Inc. for Penobscot Investment Management Company, Inc. (registered 2023-06-05)
      Dec 31, 2022 · Advisor changed firm · fact
    • Nehal Suren left People'S United Advisors, Inc. for First Manhattan Co. Llc (registered 2026-07-21)
      Dec 31, 2022 · Advisor changed firm · fact
    • Neha Grover left People'S United Advisors, Inc. for J.P. Morgan Securities Llc (registered 2025-06-25)
      Dec 31, 2022 · Advisor changed firm · 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