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
C••••• L•••• I••••••••• P•••••••• L••
Legal name C••••• L•••• I••••••••• P••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 11, 2018 · 19 filings
SEC status approved since Jul 11, 2018
RAUM
$3.4B
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
99%
$3.4B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$853M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.4B as of Mar 19, 2026
Mar 26, 2019$144M then
HNW client RAUM$3.4B as of Mar 19, 2026
Mar 26, 2019$144M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 26, 20190 then
Employees (5.A)18 as of Mar 19, 2026
Mar 26, 20194 then
Private funds: 1
RAUM +47% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $853MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $25.9MderivedHNW RAUM over HNW clients
- Average account
- $25.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 21%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +47%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $30.8M, 5 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)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.4B99%
- Charitable organizations$47.7M1.4%
- Individuals$25,0000.0%
- Individual clients
- n/areported
- HNW clients
- 130reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 134reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.8M for 5 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• T••••• S•••• F••••••• | Greenwich, Ct | Nov 13, 2024 | 16 y | 2 |
| B•••• W•••• B•••• | Greenwich, Ct | Jul 28, 2025 | 12 y | 0 |
| A•••• T••••• | Greenwich, Ct | Mar 5, 2026 | 11 y | 0 |
| M•••••• P••••• W••••• | Greenwich, Ct | Apr 6, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
Joined, latest
- M•••••• P••••• W••••• from B•• P•••••••• L••Apr 6, 2026 · RIA to RIA
- L•••• T••••• S•••• F••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 13, 2024 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• T••••• F••• L••no longer reported | Real Estate Fund | $7.5M | 40 | Mar 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• E•••• J••••••• · Chief Investment Officercontrolsince 02/2026 · owns less than 5%
- H••••••••• P••••• C••••• · Managing Membercontrolsince 04/2018 · owns 50% to 75%
- P•••••• R••••• C•••••••• · Coo And Ccocontrolsince 03/2025 · owns less than 5%
- W••••• J••••••• L•••• · Managing Membercontrolsince 04/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 19, 2026RAUM per account of $25,459,384 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 16.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- very high RAUM per advisorStatic outlier · filing Mar 19, 2026RAUM per registered advisor of $852,889,366 against a peer median of $146,690,280 (1222 comparable advisers, 99.0th percentile, 7.1 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 99% percentile
- control person changedChange between filings · filing Mar 19, 2026P•••••• R••••• C•••••••• (COO AND CCO) appeared on Schedule A between the filings of 2018-06-11 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $2,320,928,653 to $3,411,557,465 (+47.0%) between the annual amendments of 2025-03-19 and 2026-03-19; the peer median change was +17.0% (1298 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 92% percentile
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-23, yes on the filing of 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026F•••••• E•••• J••••••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2018-06-11 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 114 to 134May 23, 2025 to Mar 19, 2026
- Advisory employees · 11 to 12May 23, 2025 to Mar 19, 2026
- HNW clients · 106 to 130May 23, 2025 to Mar 19, 2026
- Assets in custody · unset to 30772739.0May 23, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMay 23, 2025 to Mar 19, 2026
- Employees · 17 to 18May 23, 2025 to Mar 19, 2026
- Discretionary RAUM · $486M to $724MMay 23, 2025 to Mar 19, 2026
- HNW RAUM · $2.3B to $3.4BMay 23, 2025 to Mar 19, 2026
- Individual RAUM · $192,807 to $25,000May 23, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $1.8B to $2.7BMay 23, 2025 to Mar 19, 2026
- Pension RAUM · $1.2M to $0May 23, 2025 to Mar 19, 2026
- RAUM · $2.3B to $3.4BMay 23, 2025 to Mar 19, 2026
- Financial planning clients · unset to Mar 19, 2025 to May 23, 2025
- Accounts · 93 to 114Aug 28, 2024 to Mar 19, 2025
- Advisory employees · 12 to 11Aug 28, 2024 to Mar 19, 2025
- HNW clients · 87 to 106Aug 28, 2024 to Mar 19, 2025
- Pooled vehicle clients · 1.0 to unsetAug 28, 2024 to Mar 19, 2025
- Assets in custody · 7510582.0 to unsetAug 28, 2024 to Mar 19, 2025
- Custody of client assets · true to falseAug 28, 2024 to Mar 19, 2025
- Employees · 15 to 17Aug 28, 2024 to Mar 19, 2025
- Private funds · 1 to unsetAug 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $329M to $486MAug 28, 2024 to Mar 19, 2025
- HNW RAUM · $1.9B to $2.3BAug 28, 2024 to Mar 19, 2025
- Individual RAUM · $179,043 to $192,807Aug 28, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $1.6B to $1.8BAug 28, 2024 to Mar 19, 2025
- Pension RAUM · $545,544 to $1.2MAug 28, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $7.5M to $0Aug 28, 2024 to Mar 19, 2025
- RAUM · $2.0B to $2.3BAug 28, 2024 to Mar 19, 2025
- Accounts · 73 to 93Mar 21, 2023 to Mar 25, 2024
- HNW clients · 70 to 87Mar 21, 2023 to Mar 25, 2024
- Pooled vehicle clients · unset to 1.0Mar 21, 2023 to Mar 25, 2024
- Assets in custody · $13.7M to $7.5MMar 21, 2023 to Mar 25, 2024
- Employees · 12 to 15Mar 21, 2023 to Mar 25, 2024
- Private funds · unset to 1Mar 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $267M to $329MMar 21, 2023 to Mar 25, 2024
- HNW RAUM · $1.5B to $1.9BMar 21, 2023 to Mar 25, 2024
- Individual RAUM · $178,494 to $179,043Mar 21, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $1.2B to $1.6BMar 21, 2023 to Mar 25, 2024
- Pension RAUM · $445,029 to $545,544Mar 21, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $0 to $7.5MMar 21, 2023 to Mar 25, 2024
Signals
7 dated events
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $3.4B, up 47% from $2.3B (2025-05-23 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $2.0B, up 33% from $1.5B (2023-03-21 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $1.5B, up 28% from $1.2B (2022-03-15 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $1.2B, up 38% from $835.2M (2021-03-10 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $835.2M, up 87% from $447.3M (2020-06-29 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• reported RAUM $447.3M, up 211% from $143.7M (2019-08-26 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- C••••• L•••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 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@colterlewis.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-987-3090reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-987-3226reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/colter-lewis-investment-partners/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- colterlewis.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-987-3090reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- colterlewis.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- colterlewis.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
- $853Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C••••• L•••• I••••••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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