DFX Intelligence

RIA Intelligence

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SEC-registered adviser

M••••••• C•••••• M••••••••• L••

Independent wealth managerCRD 304428SEC 801-116894website IAPD

Latest filing Mar 31, 2026

First filing on the tape Jun 3, 2019 · 14 filings

SEC status approved since Jul 5, 2019

RAUM

$356M

reported, Item 5.F

Discretionary

14%

of RAUM

Private clients

53%

$188M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$356M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$356M as of Mar 31, 2026

Feb 3, 2020$206M then

HNW client RAUM$188M as of Mar 31, 2026

Feb 3, 2020$112M then

State-registered IARs (5.B.3)1 as of Mar 31, 2026

Feb 3, 20201 then

Employees (5.A)2 as of Mar 31, 2026

Feb 3, 20202 then

Private funds: no history

RAUM +21% over the last fiscal year+16% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $356MderivedRAUM 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: $13.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 14%derivedof RAUM
Institutional: 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 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

High-net-worth individuals$188M53%
Charitable organizations$168M47%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 26reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.53 fund_share=0.0 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
P••••• A••••• T•••••••	Darien, Ct	Jul 8, 2019	15 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••••• H•••••• H••••• · Founder And Ccocontrol
since 05/2019 · owns 50% to 75%
T•••••••• P•••••• A••••• · Founder And Ceocontrol
since 05/2019 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

high institutional concentrationStatic outlier · filing Mar 31, 2026
institutional share of RAUM of 47% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 15.8 robust deviations)
peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 23 to 26
Feb 13, 2025 to Mar 31, 2026
Discretionary RAUM · $29.9M to $51.4M
Feb 13, 2025 to Mar 31, 2026
HNW RAUM · $153M to $188M
Feb 13, 2025 to Mar 31, 2026
Non-discretionary RAUM · $264M to $305M
Feb 13, 2025 to Mar 31, 2026
RAUM · $294M to $356M
Feb 13, 2025 to Mar 31, 2026
Accounts · 26 to 23
Mar 14, 2024 to Feb 13, 2025
Financial planning clients · 1-10 to 1-10
Mar 14, 2024 to Feb 13, 2025
HQ city · unset to
Mar 14, 2024 to Feb 13, 2025
HQ state · unset to
Mar 14, 2024 to Feb 13, 2025
Discretionary RAUM · $30.2M to $29.9M
Mar 14, 2024 to Feb 13, 2025
HNW RAUM · $145M to $153M
Mar 14, 2024 to Feb 13, 2025
Non-discretionary RAUM · $238M to $264M
Mar 14, 2024 to Feb 13, 2025
RAUM · $268M to $294M
Mar 14, 2024 to Feb 13, 2025
Accounts · 22 to 26
Mar 1, 2023 to Feb 28, 2024
Discretionary RAUM · $25.1M to $30.2M
Mar 1, 2023 to Feb 28, 2024
HNW RAUM · $122M to $145M
Mar 1, 2023 to Feb 28, 2024
Non-discretionary RAUM · $201M to $238M
Mar 1, 2023 to Feb 28, 2024
RAUM · $226M to $268M
Mar 1, 2023 to Feb 28, 2024
Accounts · 16 to 22
Feb 14, 2022 to Mar 1, 2023
Charity clients · 1.0 to unset
Feb 14, 2022 to Mar 1, 2023
HNW clients · 2.0 to unset
Feb 14, 2022 to Mar 1, 2023
Discretionary RAUM · $13.7M to $25.1M
Feb 14, 2022 to Mar 1, 2023
HNW RAUM · $139M to $122M
Feb 14, 2022 to Mar 1, 2023
Non-discretionary RAUM · $253M to $201M
Feb 14, 2022 to Mar 1, 2023
RAUM · $267M to $226M
Feb 14, 2022 to Mar 1, 2023
Accounts · 7 to 16
Mar 1, 2021 to Feb 14, 2022
Charity clients · unset to 1.0
Mar 1, 2021 to Feb 14, 2022
HNW clients · unset to 2.0
Mar 1, 2021 to Feb 14, 2022
Discretionary RAUM · $0 to $13.7M
Mar 1, 2021 to Feb 14, 2022
HNW RAUM · $105M to $139M
Mar 1, 2021 to Feb 14, 2022
Non-discretionary RAUM · $230M to $253M
Mar 1, 2021 to Feb 14, 2022
RAUM · $230M to $267M
Mar 1, 2021 to Feb 14, 2022
HNW RAUM · $112M to $105M
Jul 24, 2020 to Mar 1, 2021
Non-discretionary RAUM · $206M to $230M
Jul 24, 2020 to Mar 1, 2021
RAUM · $206M to $230M
Jul 24, 2020 to Mar 1, 2021
Financial planning clients · 0 to 1-10
Nov 5, 2019 to Feb 3, 2020
Discretionary RAUM · $210M to $0
Nov 5, 2019 to Feb 3, 2020
HNW RAUM · $99.6M to $112M
Nov 5, 2019 to Feb 3, 2020
Non-discretionary RAUM · $0 to $206M
Nov 5, 2019 to Feb 3, 2020
RAUM · $210M to $206M
Nov 5, 2019 to Feb 3, 2020

Signals

1 dated events

M••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Jun 3, 2019 · 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: m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (203) 424-0656reportedpublic record, Form ADV, Mar 31, 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: $356Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026