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••••••••• C•••••• M••••••••• G••••• L••
Latest filing May 13, 2026
First filing on the tape Jul 19, 2019 · 32 filings
SEC status approved since Aug 16, 2019
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$253M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$254M as of May 13, 2026
Mar 24, 2020$180M then
HNW client RAUM$223M as of May 13, 2026
Mar 24, 2020$139M then
State-registered IARs (5.B.3)4 as of May 13, 2026
Mar 24, 20203 then
Employees (5.A)5 as of May 13, 2026
Mar 24, 20203 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 13, 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
- $63.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $803,549derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $43.2M, 32 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$223M88%
- Individuals$29.6M12%
- Charitable organizations$885,5980.3%
- Individual clients
- 61reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 316reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.2M for 32 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| B•••• D••••• P••••Certified Financial Planner | Milford, Ct | Jan 16, 2020 | 17 y | 2 |
| J••• D•••••••• L••••• | Milford, Ct | Jul 20, 2021 | 15 y | 0 |
| J••••• C••••••••• M•••••Chartered Financial Analyst | Milford, Ct | Oct 20, 2022 | 14 y | 0 |
| E••• K••• A••••••Certified Financial Planner | Milford, Ct | Dec 19, 2025 | 11 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
- E••• A••• T••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 21, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- E••• K••• A•••••• from F••••••••• I••••••••• A••••••• L••Dec 19, 2025 · RIA to RIA
- B•••• D••••• P•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- E••• A••• T••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 26, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• B••••• D••••• · Managing Member & Chief Compliance Officercontrolsince 07/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Milford, Ct · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 321 to 316Dec 18, 2025 to Mar 13, 2026
- HNW clients · 55 to 53Dec 18, 2025 to Mar 13, 2026
- Individual clients · 62 to 61Dec 18, 2025 to Mar 13, 2026
- Assets in custody · $43.0M to $43.2MDec 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $223M to $254MDec 18, 2025 to Mar 13, 2026
- HNW RAUM · $196M to $223MDec 18, 2025 to Mar 13, 2026
- Individual RAUM · $25.6M to $29.6MDec 18, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $135,735 to $148,756Dec 18, 2025 to Mar 13, 2026
- RAUM · $223M to $254MDec 18, 2025 to Mar 13, 2026
- Assets in custody · unset to 43000000.0May 23, 2025 to Dec 18, 2025
- Custody of client assets · false to trueMay 23, 2025 to Dec 18, 2025
- Financial planning clients · 11-25 to 11-25Apr 22, 2025 to May 23, 2025
- Accounts · 332 to 321Mar 5, 2024 to Apr 22, 2025
- Advisory employees · 3 to 4Mar 5, 2024 to Apr 22, 2025
- HNW clients · 43 to 55Mar 5, 2024 to Apr 22, 2025
- Individual clients · 63 to 62Mar 5, 2024 to Apr 22, 2025
- Employees · 4 to 5Mar 5, 2024 to Apr 22, 2025
- Financial planning clients · 1-10 to 11-25Mar 5, 2024 to Apr 22, 2025
- State-registered IARs · 3 to 4Mar 5, 2024 to Apr 22, 2025
- Discretionary RAUM · $194M to $223MMar 5, 2024 to Apr 22, 2025
- HNW RAUM · $168M to $196MMar 5, 2024 to Apr 22, 2025
- Individual RAUM · $34.7M to $25.6MMar 5, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $9.6M to $135,735Mar 5, 2024 to Apr 22, 2025
- RAUM · $204M to $223MMar 5, 2024 to Apr 22, 2025
- Accounts · 320 to 332Dec 15, 2023 to Mar 5, 2024
- Charity clients · 0 to 1Dec 15, 2023 to Mar 5, 2024
- HNW clients · 45 to 43Dec 15, 2023 to Mar 5, 2024
- Individual clients · 54 to 63Dec 15, 2023 to Mar 5, 2024
- Employees · 5 to 4Dec 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $11.1M to $194MDec 15, 2023 to Mar 5, 2024
- HNW RAUM · $164M to $168MDec 15, 2023 to Mar 5, 2024
- Individual RAUM · $22.3M to $34.7MDec 15, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $175M to $9.6MDec 15, 2023 to Mar 5, 2024
- RAUM · $186M to $204MDec 15, 2023 to Mar 5, 2024
- Accounts · 247 to 320Feb 10, 2023 to Mar 10, 2023
- HNW clients · 43 to 45Feb 10, 2023 to Mar 10, 2023
- Individual clients · 55 to 54Feb 10, 2023 to Mar 10, 2023
- Pension plan clients · 8 to 0Feb 10, 2023 to Mar 10, 2023
- Financial planning clients · 11-25 to 1-10Feb 10, 2023 to Mar 10, 2023
- Other offices · 1 to 0Feb 10, 2023 to Mar 10, 2023
Signals
3 dated events
- E••• A••• T••••••• left C••••••••• C•••••• M••••••••• G••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-12-15)Dec 21, 2022 · Advisor changed firm · fact
- Alan Eric Tashlein (Founder, Managing Member & Chief Compliance Officer) no longer on Schedule A of C••••••••• C•••••• M••••••••• G••••• L•• (listed 2021-03-15, absent 2021-08-19)Aug 19, 2021 · Control person left · inference
- C••••••••• C•••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jul 19, 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
- Business phone
- 203-877-1520reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- connecticutcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-877-1520reportedpublic record, Form ADV, May 13, 2026
- Contact form
- connecticutcapital.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- connecticutcapital.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $63.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026