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

B•••• F•••••••• C•••••••• L••

Independent wealth managerWatertown, ConnecticutCRD 293013SEC 801-132246IAPD
Latest filing Jan 27, 2026
First filing on the tape Feb 21, 2025 · 2 filings
SEC status approved since Mar 21, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$104M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$114M as of Jan 27, 2026
Feb 21, 2025$100M then
HNW client RAUM$74.0M as of Jan 27, 2026
Feb 21, 2025$61.0M then
State-registered IARs (5.B.3)1 as of Jan 27, 2026
Feb 21, 20251 then
Employees (5.A)1 as of Jan 27, 2026
Feb 21, 20251 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 27, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
144derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$276,642derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
+7.5%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$416,000, 3 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$74.0M65%
  • Individuals$30.3M27%
  • Pension and profit-sharing plans$8.8M7.8%
  • Charitable organizations$552,0000.5%
Individual clients
121reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
411reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$416,000 for 3 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N•••••••• F••••• B••••Certified Financial PlannerWatertown, CtJul 3, 201832 y3
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• N••••••••• F••••• · Principal & Chief Compliance Officercontrol
      since 06/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 382 to 411
      Feb 21, 2025 to Jan 27, 2026
    • HNW clients · 21 to 23
      Feb 21, 2025 to Jan 27, 2026
    • Individual clients · 113 to 121
      Feb 21, 2025 to Jan 27, 2026
    • Assets in custody · $2.5M to $416,000
      Feb 21, 2025 to Jan 27, 2026
    • Discretionary RAUM · $100M to $114M
      Feb 21, 2025 to Jan 27, 2026
    • HNW RAUM · $61.0M to $74.0M
      Feb 21, 2025 to Jan 27, 2026
    • Individual RAUM · $31.1M to $30.3M
      Feb 21, 2025 to Jan 27, 2026
    • Pension RAUM · $7.9M to $8.8M
      Feb 21, 2025 to Jan 27, 2026
    • RAUM · $100M to $114M
      Feb 21, 2025 to Jan 27, 2026
    Signals
    No event on the tape.
    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
    Principal office phone
    (860) 417-2518reportedpublic record, Form ADV, Jan 27, 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
    $114Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026