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
H••••• W••••• M••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Oct 3, 2018 · 29 filings
SEC status approved since Nov 5, 2018
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$381M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$397M as of Jul 28, 2026
Feb 28, 2019$214M then
HNW client RAUM$329M as of Jul 28, 2026
Feb 28, 2019$151M then
State-registered IARs (5.B.3)2 as of Jul 28, 2026
Feb 28, 20192 then
Employees (5.A)2 as of Jul 28, 2026
Feb 28, 20192 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 28, 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
- 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
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $429,654derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $164M, 131 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M83%
- Individuals$52.0M13%
- Corporations and businesses$11.0M2.8%
- Pension and profit-sharing plans$5.0M1.3%
- Individual clients
- 142reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 924reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $164M for 131 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• S•••• H•••••Certified Financial Planner | Madison, Ct | Nov 5, 2018 | 29 y | 2 |
| B•••• L•• H••••• | Norwalk, Ct | Nov 5, 2018 | 32 y | 1 |
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
- B•••• L•• H••••• from C••••• S••••• P•••••••Nov 5, 2018 · RIA to a newly registered adviser
- J••••• S•••• H••••• from C••••• S••••• P•••••••Nov 5, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• B••••• L•• · Managing Membercontrolsince 08/2018 · owns 50% to 75%
- H•••••• J•••••• S•••• · Managing Member/Chief Compliance Officercontrolsince 08/2018 · 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 |
|---|---|---|---|---|---|
| Madison, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 930 to 924Jul 22, 2025 to Mar 10, 2026
- HNW clients · 94 to 95Jul 22, 2025 to Mar 10, 2026
- Individual clients · 156 to 142Jul 22, 2025 to Mar 10, 2026
- Assets in custody · $136M to $164MJul 22, 2025 to Mar 10, 2026
- Discretionary RAUM · $356M to $397MJul 22, 2025 to Mar 10, 2026
- HNW RAUM · $290M to $329MJul 22, 2025 to Mar 10, 2026
- Individual RAUM · $52.0M to $52.0MJul 22, 2025 to Mar 10, 2026
- Pension RAUM · $4.0M to $5.0MJul 22, 2025 to Mar 10, 2026
- RAUM · $356M to $397MJul 22, 2025 to Mar 10, 2026
- Financial planning clients · 101-250 to 101-250Mar 3, 2025 to Jul 22, 2025
- Accounts · 879 to 930Oct 14, 2024 to Mar 3, 2025
- HNW clients · 87 to 94Oct 14, 2024 to Mar 3, 2025
- Individual clients · 158 to 156Oct 14, 2024 to Mar 3, 2025
- Assets in custody · $70.0M to $136MOct 14, 2024 to Mar 3, 2025
- HQ city · unset to Oct 14, 2024 to Mar 3, 2025
- HQ state · unset to Oct 14, 2024 to Mar 3, 2025
- Discretionary RAUM · $291M to $356MOct 14, 2024 to Mar 3, 2025
- HNW RAUM · $222M to $290MOct 14, 2024 to Mar 3, 2025
- Individual RAUM · $58.3M to $52.0MOct 14, 2024 to Mar 3, 2025
- Pension RAUM · $3.2M to $4.0MOct 14, 2024 to Mar 3, 2025
- RAUM · $291M to $356MOct 14, 2024 to Mar 3, 2025
- Accounts · 856 to 879Aug 9, 2023 to Mar 5, 2024
- Corporate clients · 10 to 11Aug 9, 2023 to Mar 5, 2024
- HNW clients · 83 to 87Aug 9, 2023 to Mar 5, 2024
- Individual clients · 145 to 158Aug 9, 2023 to Mar 5, 2024
- Discretionary RAUM · $259M to $291MAug 9, 2023 to Mar 5, 2024
- HNW RAUM · $203M to $222MAug 9, 2023 to Mar 5, 2024
- Individual RAUM · $48.0M to $58.3MAug 9, 2023 to Mar 5, 2024
- Pension RAUM · $2.6M to $3.2MAug 9, 2023 to Mar 5, 2024
- RAUM · $259M to $291MAug 9, 2023 to Mar 5, 2024
- Accounts · 838 to 856Jul 26, 2022 to Feb 21, 2023
- Corporate clients · 9 to 10Jul 26, 2022 to Feb 21, 2023
- HNW clients · 89 to 83Jul 26, 2022 to Feb 21, 2023
- Individual clients · 143 to 145Jul 26, 2022 to Feb 21, 2023
- Assets in custody · $91.3M to $70.0MJul 26, 2022 to Feb 21, 2023
- Discretionary RAUM · $259M to $259MJul 26, 2022 to Feb 21, 2023
- Individual RAUM · $46.0M to $48.0MJul 26, 2022 to Feb 21, 2023
- RAUM · $259M to $259MJul 26, 2022 to Feb 21, 2023
- Accounts · 863 to 838Nov 9, 2021 to Mar 18, 2022
- Corporate clients · unset to 9.0Nov 9, 2021 to Mar 18, 2022
Signals
1 dated events
- H••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 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
- Principal office phone
- 203-421-8339reportedpublic record, Form ADV, Jul 28, 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
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026