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
P•••••••• M••••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Sep 4, 2018 · 36 filings
SEC status approved since Oct 4, 2018
RAUM
$626M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
39%
$242M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$626M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$626M as of Mar 3, 2026
Jan 30, 2019$111M then
HNW client RAUM$242M as of Mar 3, 2026
Jan 30, 2019$7.2M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Jan 30, 20191 then
Employees (5.A)7 as of Mar 3, 2026
Jan 30, 20193 then
Private funds: no history
RAUM +20% over the last fiscal year+20% a year over threeIARs 1 to 2offices 1 to 0
Practice profile
derived from the filing of Sep 11, 2026; 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
- $626MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$383M61%
- High-net-worth individuals$242M39%
- Individual clients
- 0reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 130reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.39 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••••• R•••••• B••••Chartered Financial Analyst | Colchester, Ct | Aug 22, 2025 | 11 y | 0 |
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
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• T•••••• J•••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- S•••••••• J••••• L•• · Manager; Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- S•••••••• J••••• L•• · Member; Managercontrolsince 08/2018 · owns 75% or more of M•••••• L••
Entity owners
- M•••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 3, 2026 to Sep 11, 2026
- Related adviser · false to unsetMar 3, 2026 to Sep 11, 2026
- Related bank · false to unsetMar 3, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetMar 3, 2026 to Sep 11, 2026
- Related insurance company · false to unsetMar 3, 2026 to Sep 11, 2026
- Succession · false to unsetMar 3, 2026 to Sep 11, 2026
- Accounts · 148 to 130Nov 24, 2025 to Feb 27, 2026
- Advisory activities · 3 to 1Nov 24, 2025 to Feb 27, 2026
- Corporate clients · 22 to 23Nov 24, 2025 to Feb 27, 2026
- HNW clients · 49 to 50Nov 24, 2025 to Feb 27, 2026
- Individual clients · 1 to 0Nov 24, 2025 to Feb 27, 2026
- Employees · 6 to 7Nov 24, 2025 to Feb 27, 2026
- Financial planning clients · 1-10 to 0Nov 24, 2025 to Feb 27, 2026
- Discretionary RAUM · $521M to $626MNov 24, 2025 to Feb 27, 2026
- HNW RAUM · $195M to $242MNov 24, 2025 to Feb 27, 2026
- Individual RAUM · $221,214 to $0Nov 24, 2025 to Feb 27, 2026
- RAUM · $521M to $626MNov 24, 2025 to Feb 27, 2026
- Other offices · 1 to 0Aug 25, 2025 to Nov 24, 2025
- Advisory employees · 3 to 4Mar 25, 2025 to Aug 25, 2025
- Employees · 5 to 6Mar 25, 2025 to Aug 25, 2025
- State-registered IARs · 1 to 2Mar 25, 2025 to Aug 25, 2025
- Corporate clients · 4 to 22Nov 23, 2024 to Mar 25, 2025
- HNW clients · 58 to 49Nov 23, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Nov 23, 2024 to Mar 25, 2025
- Discretionary RAUM · $451M to $521MNov 23, 2024 to Mar 25, 2025
- HNW RAUM · $424M to $195MNov 23, 2024 to Mar 25, 2025
- Individual RAUM · $941,878 to $221,214Nov 23, 2024 to Mar 25, 2025
- RAUM · $451M to $521MNov 23, 2024 to Mar 25, 2025
- HQ city · STAMFORD to COLCHESTERJul 17, 2024 to Aug 22, 2024
- Accounts · 127 to 148Apr 21, 2023 to Mar 14, 2024
- HNW clients · 52 to 58Apr 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $359M to $451MApr 21, 2023 to Mar 14, 2024
- HNW RAUM · $288M to $424MApr 21, 2023 to Mar 14, 2024
- Individual RAUM · $363,734 to $941,878Apr 21, 2023 to Mar 14, 2024
- RAUM · $359M to $451MApr 21, 2023 to Mar 14, 2024
- Accounts · 42 to 127Jan 13, 2023 to Mar 16, 2023
- Corporate clients · 11 to 4Jan 13, 2023 to Mar 16, 2023
- HNW clients · 30 to 52Jan 13, 2023 to Mar 16, 2023
- Discretionary RAUM · $343M to $359MJan 13, 2023 to Mar 16, 2023
- HNW RAUM · $164M to $288MJan 13, 2023 to Mar 16, 2023
Signals
3 dated events
- W J•••• Schellens (Chief Operating Officer) no longer on Schedule A of P•••••••• M••••••••• L•• (listed 2024-03-14, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- P•••••••• M••••••••• L•• reported RAUM $225.1M, up 103% from $110.6M (2019-12-09 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- P•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 4, 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
- p••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-531-9590reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- p••••••••.netreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $626Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026