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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Former SEC-registered adviser

S••••••• A•••• M••••••••• L••

STATE REGISTEREDWallingford, ConnecticutCRD 302082websiteIAPD
Latest filing Jul 15, 2026
First filing on the tape Jul 15, 2026 · 1 filings
RAUM
$63.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$63.2M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
RAUM per advisor
$9.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$127,765derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
1.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$63.2M, 495 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
  • 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
  • Individuals$63.2M100%
Individual clients
495reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
495reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$63.2M for 495 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• F•••••••• W•••••Certified Financial Planner, Chartered Financial ConsultantWestport, Ct Jun 18, 201931 y1
R•• C••••Westport, Ct Sep 8, 202122 y1
A•• M•••• W•••••Wallingford, Ct Sep 7, 202211 y0
T••••• G••• A•••••Wallingford, Ct Jan 16, 202512 y1
E•••••••• M••••••Wallingford, CtJan 2, 202616 y3
J•••• R••••• M••••Villanova, Pa May 5, 202621 y1
R••••• A•••••• Y••••Wallingford, Ct Jun 8, 202634 y3
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Wallingford, Ct · principal731
Westport, Ct300
Villanova, Pa220
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
6 dated events
  • J•••• P•••••• C•••• left S••••••• A•••• M••••••••• L•• for L•• E••••••••• L•• (registered 2026-01-23)
    Jan 16, 2026 · Advisor changed firm · fact
  • B•••• K••• H••••• left S••••••• A•••• M••••••••• L•• for L••••• W••••• M••••••••• I••• (registered 2025-06-11)
    Jan 21, 2025 · Advisor changed firm · fact
  • M•••••• C••••••• S•••• left S••••••• A•••• M••••••••• L•• for J•••••• B••••••• (registered 2024-12-17)
    Dec 10, 2024 · Advisor changed firm · fact
  • A•••••••• B•••• O••••••• left S••••••• A•••• M••••••••• L•• for F••••• W••••• W••••• M••••••••• L•• (registered 2023-10-26)
    Jan 17, 2024 · Advisor changed firm · fact
  • M••• L•••• K•••••• left S••••••• A•••• M••••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-03-12)
    Dec 11, 2023 · Advisor changed firm · fact
  • V•••••• D••••••••• left S••••••• A•••• M••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2023-11-28)
    Nov 3, 2023 · 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.
How to reach
public business contact points only, each with its source
Website
w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
203-793-0707reportedpublic record, Form ADV, Jul 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026