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

R••••••••• A•••••••• L••

Wealth manager with institutional or fund businessNorwalk, ConnecticutCRD 310396SEC 801-119715website IAPD

Latest filing Aug 28, 2026

First filing on the tape Sep 30, 2020 · 21 filings

SEC status approved since Oct 30, 2020

RAUM

$898M

reported, Item 5.F

Discretionary

60%

of RAUM

Private clients

49%

$444M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$128M

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$898M as of Aug 28, 2026

Feb 26, 2021$127M then

HNW client RAUM$379M as of Aug 28, 2026

Feb 26, 2021$113M then

State-registered IARs (5.B.3)5 as of Aug 28, 2026

Feb 26, 20212 then

Employees (5.A)10 as of Aug 28, 2026

Feb 26, 20213 then

Private funds: no history

RAUM +7.7% over the last fiscal year+27% a year over threeIARs 8 to 5offices 4 to 2

Practice profile

derived from the filing of Aug 28, 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

RAUM per advisor: $128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 40derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.4MderivedHNW RAUM over HNW clients
Average account: $3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 60%derivedof RAUM
Institutional: 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.4derivedItem 5.A over advisors
Advisors per office: 2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +7.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +44%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$379M42%
Insurance companies$348M39%
Individuals$65.4M7.3%
Other investment advisers$47.4M5.3%
Corporations and businesses$30.9M3.4%
Charitable organizations$25.3M2.8%
Pension and profit-sharing plans$2.8M0.3%

Individual clients: 218reported
HNW clients: 59reported
Pension plan clients: 2reported
Charitable clients: 5reported
Accounts: 293reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.49 fund_share=0.05 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
W•••••• R••• K••••••Chartered Financial Analyst	Norwalk, Ct	Jan 10, 2021	14 y	1
C•••• D•••• P•••••••	Norwalk, Ct	Feb 11, 2021	29 y	2
C••• A••• S••••••	Norwalk, Ct	Feb 11, 2021	42 y	6
J••••• K••••••	Sandy Hook, Ct	Aug 16, 2021	12 y	0
R••• A•••••••• B••••••	Norwalk, Ct	Oct 1, 2025	12 y	0
M•••••• J••• F•••••••••	Norwalk, Ct	Apr 18, 2026	17 y	0
I•• L•••• S••••••	Norwalk, Ct	Jun 1, 2026	10 y	1

Advisor movement

3 left, 0 joined in 12 months

net -3 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 43% of current headcount3 left over 36 months

Left, latest

N•••••• R•••• Z••••• to I•••••••• A•••••••• L••
Jun 30, 2026 · RIA to affiliated broker-dealer or bank
T••••• W•••• D•••• to I•••••••• A•••••••• L••
Jun 30, 2026 · RIA to affiliated broker-dealer or bank
E••• E•• M•••• to C•••••• W••••• M••••••••• L••
May 22, 2026 · RIA to RIA

Joined, latest

N•••••• R•••• Z••••• from L••• S••••• A•••••••• L••
Mar 20, 2025 · Affiliated broker-dealer or bank to independent RIA
T••••• W•••• D•••• from L••• S••••• A•••••••• L••
Mar 17, 2025 · Affiliated broker-dealer or bank to independent RIA
C••• A••• S•••••• from D••••••• S••••••••• L••
Feb 11, 2021 · RIA to a newly registered adviser
C•••• D•••• P••••••• from M••••• S••••••
Feb 11, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
W•••••• R••• K•••••• from D••••••• S••••••••• L••
Jan 10, 2021 · RIA to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for I•••••••• A•••••••• L••
Jun 30, 2026 · Eugene, Or

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• W••••••• R••• · Ceo, Cio, Ccocontrol
since 07/2020 · owns less than 5%
K••••••• W••••••• R••• · Ownercontrol
since 09/2019 · owns 75% or more of T•••• M••••••••• L••
M••••••• D••••• H• · Member
since 08/2020 · owns 5% to 10%
P•••••••• C••••• D•••• · Member
since 08/2020 · owns 5% to 10%
Z••••••• J••••••• · Member
since 08/2020 · owns 5% to 10%

Entity owners

T•••• M••••••••• L•• · Managing Member
direct · owns 50% to 75%
R••••••••• P•••••••• L•• · Member
direct · owns less than 5%

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
Norwalk, Ct · principal	7	3	1
Eugene, Or	2	1	2	1

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

office count dropChange between filings · filing Mar 31, 2026
offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-04-02 and 2026-03-31; the peer median change was 0.0% (233 comparable advisers, 2.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (233) · 2.2% percentile

How anomalies are measured

What changed

consecutive filings, newest first

BD registered reps · 2 to 0
Jul 31, 2026 to Aug 28, 2026
Employees · 15 to 10
Jul 31, 2026 to Aug 28, 2026
Insurance-licensed employees · 2 to 0
Jul 31, 2026 to Aug 28, 2026
State-registered IARs · 8 to 5
Jul 31, 2026 to Aug 28, 2026
Accounts · 205 to 293
Oct 14, 2025 to Mar 31, 2026
Corporate clients · 5 to 7
Oct 14, 2025 to Mar 31, 2026
HNW clients · 64 to 59
Oct 14, 2025 to Mar 31, 2026
Individual clients · 128 to 218
Oct 14, 2025 to Mar 31, 2026
Pension plan clients · unset to 2.0
Oct 14, 2025 to Mar 31, 2026
Other offices · 4 to 2
Oct 14, 2025 to Mar 31, 2026
Discretionary RAUM · $392M to $540M
Oct 14, 2025 to Mar 31, 2026
HNW RAUM · $300M to $379M
Oct 14, 2025 to Mar 31, 2026
Individual RAUM · $33.0M to $65.4M
Oct 14, 2025 to Mar 31, 2026
Non-discretionary RAUM · $442M to $359M
Oct 14, 2025 to Mar 31, 2026
Pension RAUM · $961,749 to $2.8M
Oct 14, 2025 to Mar 31, 2026
RAUM · $834M to $898M
Oct 14, 2025 to Mar 31, 2026
Related broker-dealer · true to false
Oct 14, 2025 to Mar 31, 2026
Financial planning clients · 26-50 to 26-50
Apr 2, 2025 to Jul 23, 2025
Accounts · 47 to 205
Jan 14, 2025 to Apr 2, 2025
Advisory employees · 6 to 8
Jan 14, 2025 to Apr 2, 2025
BD registered reps · 0 to 2
Jan 14, 2025 to Apr 2, 2025
HNW clients · 25 to 64
Jan 14, 2025 to Apr 2, 2025
Individual clients · 8 to 128
Jan 14, 2025 to Apr 2, 2025
Employees · 7 to 15
Jan 14, 2025 to Apr 2, 2025
Insurance-licensed employees · 0 to 2
Jan 14, 2025 to Apr 2, 2025
Financial planning clients · 1-10 to 26-50
Jan 14, 2025 to Apr 2, 2025
State-registered IARs · 5 to 8
Jan 14, 2025 to Apr 2, 2025
Other offices · 3 to 4
Jan 14, 2025 to Apr 2, 2025
Discretionary RAUM · $285M to $392M
Jan 14, 2025 to Apr 2, 2025
HNW RAUM · $227M to $300M
Jan 14, 2025 to Apr 2, 2025
Individual RAUM · $2.0M to $33.0M
Jan 14, 2025 to Apr 2, 2025
Non-discretionary RAUM · $348M to $442M
Jan 14, 2025 to Apr 2, 2025
Pension RAUM · $848,664 to $961,749
Jan 14, 2025 to Apr 2, 2025
RAUM · $633M to $834M
Jan 14, 2025 to Apr 2, 2025
Related broker-dealer · false to true
Jan 14, 2025 to Apr 2, 2025
Other offices · 2 to 3
Apr 4, 2024 to Jan 14, 2025
Accounts · 38 to 47
Apr 4, 2023 to Mar 15, 2024
Charity clients · unset to 5.0
Apr 4, 2023 to Mar 15, 2024
Corporate clients · unset to 5.0
Apr 4, 2023 to Mar 15, 2024
HNW clients · 21 to 25
Apr 4, 2023 to Mar 15, 2024

Signals

8 dated events

N•••••• R•••• Z••••• left R••••••••• A•••••••• L•• for I•••••••• A•••••••• L•• (registered 2025-11-03)
Jun 30, 2026 · Advisor changed firm · fact
T••••• W•••• D•••• left R••••••••• A•••••••• L•• for I•••••••• A•••••••• L•• (registered 2025-11-03)
Jun 30, 2026 · Advisor changed firm · fact
2 advisors left R••••••••• A•••••••• L•• (Eugene, OR) for I•••••••• A•••••••• L•• on the same day
Jun 30, 2026 · Team lift-out · derived
E••• E•• M•••• left R••••••••• A•••••••• L•• for C•••••• W••••• M••••••••• L•• (registered 2026-06-04)
May 22, 2026 · Advisor changed firm · fact
R••••••••• A•••••••• L•• reported RAUM $833.8M, up 32% from $633.0M (2025-01-14 to 2025-04-02)
Apr 2, 2025 · RAUM change · derived
R••••••••• A•••••••• L•• reported RAUM $633.0M, up 45% from $435.2M (2023-04-04 to 2024-03-15)
Mar 15, 2024 · RAUM change · derived
R••••••••• A•••••••• L•• reported RAUM $394.7M, up 210% from $127.1M (2021-12-22 to 2022-03-15)
Mar 15, 2022 · RAUM change · derived
R••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Sep 30, 2020 · 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: 203-658-6055reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/riskbridgeadvisorsreportedpublic record, Form ADV, Sep 18, 2026
Website: r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (203) 658-6055reportedpublic record, Form ADV, Aug 28, 2026
Contact form: r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: r•••••••••.comreportedpublished by the firm, firm site, Sep 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $128Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026