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
U••••• F•••••••• • T•• S•••••••• L••
Latest filing Apr 22, 2026
First filing on the tape Nov 22, 2024 · 6 filings
SEC status approved since Jan 3, 2025
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$159M as of Apr 22, 2026
Jan 22, 2025$118M then
HNW client RAUM$34.1M as of Apr 22, 2026
Jan 22, 2025$29.5M then
State-registered IARs (5.B.3)2 as of Apr 22, 2026
Jan 22, 20251 then
Employees (5.A)3 as of Apr 22, 2026
Jan 22, 20252 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $53.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $241,303derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$125M79%
- High-net-worth individuals$34.1M21%
- Individual clients
- 633reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 660reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• A•••• | Farmington, Ct | Nov 5, 2021 | 22 y | 3 |
| M•••••• V• A•••• | Farmington, Ct | Feb 28, 2023 | 14 y | 0 |
| C••••• L••• F••••••••• | Farmington, Ct | Jan 12, 2026 | 10 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
- M•••••• J••••• A•••• from C• A••••••• S•••••••Nov 5, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M••••••• J••••• · Managing Member/Ccocontrolsince 02/2021 · 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 |
|---|---|---|---|---|---|
| Farmington, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 22, 2026individual and HNW clients (Item 5.D) moved from 400.0 to 660.0 (+65.0%) between the annual amendments of 2025-02-27 and 2026-04-22; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
- account count surgeChange between filings · filing Apr 22, 2026accounts (Item 5.F.2.f) moved from 400.0 to 660.0 (+65.0%) between the annual amendments of 2025-02-27 and 2026-04-22; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
What changed
consecutive filings, newest first
- HQ city · GLASTONBURY to FARMINGTONFeb 13, 2026 to Apr 22, 2026
- Accounts · 400 to 660Jan 21, 2026 to Feb 13, 2026
- HNW clients · 22 to 27Jan 21, 2026 to Feb 13, 2026
- Individual clients · 378 to 633Jan 21, 2026 to Feb 13, 2026
- Financial planning clients · 51-100 to 26-50Jan 21, 2026 to Feb 13, 2026
- Discretionary RAUM · $120M to $159MJan 21, 2026 to Feb 13, 2026
- HNW RAUM · $31.0M to $34.1MJan 21, 2026 to Feb 13, 2026
- Individual RAUM · $89.0M to $125MJan 21, 2026 to Feb 13, 2026
- RAUM · $120M to $159MJan 21, 2026 to Feb 13, 2026
- Advisory employees · 2 to 3Feb 27, 2025 to Jan 21, 2026
- Employees · 2 to 3Feb 27, 2025 to Jan 21, 2026
- State-registered IARs · 1 to 2Feb 27, 2025 to Jan 21, 2026
- Accounts · 339 to 400Jan 22, 2025 to Feb 27, 2025
- HNW clients · 18 to 22Jan 22, 2025 to Feb 27, 2025
- Individual clients · 321 to 378Jan 22, 2025 to Feb 27, 2025
- Financial planning clients · 26-50 to 51-100Jan 22, 2025 to Feb 27, 2025
- Discretionary RAUM · $118M to $120MJan 22, 2025 to Feb 27, 2025
- HNW RAUM · $29.5M to $31.0MJan 22, 2025 to Feb 27, 2025
- Individual RAUM · $88.9M to $89.0MJan 22, 2025 to Feb 27, 2025
- RAUM · $118M to $120MJan 22, 2025 to Feb 27, 2025
- Advisory employees · 3 to 2Nov 22, 2024 to Jan 22, 2025
- Employees · 3 to 2Nov 22, 2024 to Jan 22, 2025
- State-registered IARs · 2 to 1Nov 22, 2024 to Jan 22, 2025
Signals
1 dated events
- U••••• F•••••••• • T•• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 22, 2024 · 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
- usafinancialandtaxservices.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-430-2138reportedpublic record, Form ADV, Apr 22, 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
- $53.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026