DFX Intelligence

RIA Intelligence

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SEC-registered adviser

F•••••• I••••••••• L••

Institutional managerCRD 311767SEC 801-120179website IAPD

Latest filing Mar 12, 2026

First filing on the tape Dec 17, 2020 · 10 filings

SEC status approved since Jan 19, 2021

RAUM

$735M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$735M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$735M as of Mar 12, 2026

Mar 18, 2022$332M then

HNW client RAUM$0 as of Mar 12, 2026

Mar 18, 2022$323,282 then

State-registered IARs (5.B.3)1 as of Mar 12, 2026

Mar 18, 20221 then

Employees (5.A)2 as of Mar 12, 2026

Mar 18, 20222 then

Private funds: no history

RAUM +7.5% over the last fiscal year+17% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 12, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $735MderivedRAUM 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: $147MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +7.5%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -100%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

Insurance companies$735M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
C••• C••Chartered Financial Analyst	Boston, Ma	Feb 2, 2021	25 y	1

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

C••• C••• · Managing Member/Chief Compliance Officercontrol
since 10/2020 · owns 50% to 75%
F••••••• M••••••• F•••••• · Managing Membercontrol
since 10/2020 · owns 50% to 75%

Related persons

Schedule D 7.A

F•••••• C•••••• M••••••••• L••
investment adviserbanknRAUM $7.1M
F•••••• I•••••••• L••
bankpooled vehicle sponsorn

Advisers that list F•••••• I••••••••• L•• as a related person

315753 n

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

affiliate changedChange between filings · filing Mar 12, 2026
bank affiliate (Item 7.A.6): yes on the filing of 2025-01-27, no on the filing of 2026-03-12
peers: institutional managers, $500M to $1B (71)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6 to 5
Jan 27, 2025 to Mar 12, 2026
HNW clients · 1 to 0
Jan 27, 2025 to Mar 12, 2026
Insurance-licensed employees · 1 to 0
Jan 27, 2025 to Mar 12, 2026
Discretionary RAUM · $683M to $735M
Jan 27, 2025 to Mar 12, 2026
HNW RAUM · $111,250 to $0
Jan 27, 2025 to Mar 12, 2026
RAUM · $683M to $735M
Jan 27, 2025 to Mar 12, 2026
Related adviser · true to false
Jan 27, 2025 to Mar 12, 2026
Related bank · true to false
Jan 27, 2025 to Mar 12, 2026
Accounts · 5 to 6
Feb 29, 2024 to Jan 27, 2025
Financial planning clients · unset to
Feb 29, 2024 to Jan 27, 2025
HQ city · unset to
Feb 29, 2024 to Jan 27, 2025
HQ state · unset to
Feb 29, 2024 to Jan 27, 2025
Discretionary RAUM · $515M to $683M
Feb 29, 2024 to Jan 27, 2025
HNW RAUM · $105,982 to $111,250
Feb 29, 2024 to Jan 27, 2025
RAUM · $515M to $683M
Feb 29, 2024 to Jan 27, 2025
Accounts · 7 to 5
Mar 6, 2023 to Feb 29, 2024
HNW clients · 2 to 1
Mar 6, 2023 to Feb 29, 2024
Discretionary RAUM · $457M to $515M
Mar 6, 2023 to Feb 29, 2024
HNW RAUM · $220,669 to $105,982
Mar 6, 2023 to Feb 29, 2024
RAUM · $457M to $515M
Mar 6, 2023 to Feb 29, 2024
HNW clients · 3 to 2
May 4, 2022 to Mar 6, 2023
Insurance-licensed employees · 0 to 1
May 4, 2022 to Mar 6, 2023
Discretionary RAUM · $332M to $457M
May 4, 2022 to Mar 6, 2023
HNW RAUM · $323,282 to $220,669
May 4, 2022 to Mar 6, 2023
RAUM · $332M to $457M
May 4, 2022 to Mar 6, 2023
Accounts · 4 to 7
Nov 9, 2021 to Mar 18, 2022
Discretionary RAUM · $339M to $332M
Nov 9, 2021 to Mar 18, 2022
HNW RAUM · $322,686 to $323,282
Nov 9, 2021 to Mar 18, 2022
RAUM · $339M to $332M
Nov 9, 2021 to Mar 18, 2022
Discretionary RAUM · $210M to $339M
Apr 22, 2021 to Nov 9, 2021
HNW RAUM · $303,093 to $322,686
Apr 22, 2021 to Nov 9, 2021
RAUM · $210M to $339M
Apr 22, 2021 to Nov 9, 2021
Related adviser · false to true
Apr 22, 2021 to Nov 9, 2021
Related bank · false to true
Apr 22, 2021 to Nov 9, 2021
Accounts · 0 to 4
Dec 21, 2020 to Apr 22, 2021
Charity clients · unset to 0.0
Dec 21, 2020 to Apr 22, 2021
Corporate clients · unset to 0.0
Dec 21, 2020 to Apr 22, 2021
HNW clients · unset to 3.0
Dec 21, 2020 to Apr 22, 2021
Individual clients · unset to 0.0
Dec 21, 2020 to Apr 22, 2021
Pension plan clients · unset to 0.0
Dec 21, 2020 to Apr 22, 2021

Signals

4 dated events

F•••••• I••••••••• L•• reported RAUM $683.5M, up 33% from $514.7M (2024-02-29 to 2025-01-27)
Jan 27, 2025 · RAUM change · derived
F•••••• I••••••••• L•• reported RAUM $456.8M, up 38% from $331.7M (2022-05-04 to 2023-03-06)
Mar 6, 2023 · RAUM change · derived
F•••••• I••••••••• L•• reported RAUM $339.0M, up 62% from $209.8M (2021-04-22 to 2021-11-09)
Nov 9, 2021 · RAUM change · derived
F•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
Dec 17, 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

Website: f•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (860) 839-0257reportedpublic record, Form ADV, Mar 12, 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: Institutional managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $735Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026