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
E•••••• F•••••••• A•••••••• L••
Latest filing May 6, 2026
First filing on the tape Apr 21, 2021 · 20 filings
SEC status approved since May 21, 2021
RAUM
$636M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$636M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$636M as of May 6, 2026
Mar 9, 2022$412M then
HNW client RAUM$509M as of May 6, 2026
Mar 9, 2022$321M then
State-registered IARs (5.B.3)4 as of May 6, 2026
Mar 9, 20224 then
Employees (5.A)7 as of May 6, 2026
Mar 9, 20228 then
Private funds: no history
RAUM +19% over the last fiscal year+23% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 6, 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
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $421,619derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$509M80%
- Individuals$127M20%
- Pension and profit-sharing plans$300,0000.0%
- Individual clients
- 90reported
- HNW clients
- 200reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 1,508reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| R••••• E••••• W•••••••Certified Financial Planner | Glastonbury, Ct | Jul 2, 2021 | 27 y | 4 |
| L••• K•••••• O•••••••Certified Financial Planner, Chartered Financial Consultant | Glastonbury, Ct | Aug 10, 2021 | 26 y | 2 |
| N••••••• J•••• G•••••• | Glastonbury, Ct | Apr 18, 2022 | 18 y | 0 |
| R••••• F•••••••• W••••••• | Glastonbury, Ct | Jan 31, 2025 | 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
- L••• K•••••• O••••••• from C••••••••• F•••••••• N••••••Aug 10, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• E••••• W••••••• from S••••••••• A•••••• A•••••••• I•••Jul 2, 2021 · 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
- W•••••••• R•••••• E••••• · President And Chief Compliance Officercontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 4, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $535,018,387 to $635,801,070, advisors 4 to 4, private clients 370 to 290, offices 0 to 0 (2025-02-07 to 2026-03-04)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 4, 2026HNW share of RAUM moved from 96.0% to 80.0% between the annual amendments of 2025-02-07 and 2026-03-04peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,369 to 1,508Feb 7, 2025 to Feb 13, 2026
- HNW clients · 296 to 200Feb 7, 2025 to Feb 13, 2026
- Individual clients · 74 to 90Feb 7, 2025 to Feb 13, 2026
- Pension plan clients · unset to 5.0Feb 7, 2025 to Feb 13, 2026
- Discretionary RAUM · $535M to $636MFeb 7, 2025 to Feb 13, 2026
- HNW RAUM · $512M to $509MFeb 7, 2025 to Feb 13, 2026
- Individual RAUM · $21.3M to $127MFeb 7, 2025 to Feb 13, 2026
- Pension RAUM · $251,800 to $300,000Feb 7, 2025 to Feb 13, 2026
- RAUM · $535M to $636MFeb 7, 2025 to Feb 13, 2026
- Accounts · 1,196 to 1,369Jun 18, 2024 to Feb 7, 2025
- Advisory activities · 2 to 3Jun 18, 2024 to Feb 7, 2025
- HNW clients · 128 to 296Jun 18, 2024 to Feb 7, 2025
- Individual clients · 184 to 74Jun 18, 2024 to Feb 7, 2025
- Pension plan clients · 5.0 to unsetJun 18, 2024 to Feb 7, 2025
- Financial planning clients · 251-500 to 251-500Jun 18, 2024 to Feb 7, 2025
- Discretionary RAUM · $412M to $535MJun 18, 2024 to Feb 7, 2025
- HNW RAUM · $325M to $512MJun 18, 2024 to Feb 7, 2025
- Individual RAUM · $85.0M to $21.3MJun 18, 2024 to Feb 7, 2025
- Pension RAUM · $1.4M to $251,800Jun 18, 2024 to Feb 7, 2025
- RAUM · $412M to $535MJun 18, 2024 to Feb 7, 2025
- Accounts · 1,117 to 1,196Apr 5, 2023 to Jan 17, 2024
- State-registered IARs · 3 to 4Apr 5, 2023 to Jan 17, 2024
- Discretionary RAUM · $340M to $412MApr 5, 2023 to Jan 17, 2024
- HNW RAUM · $198M to $325MApr 5, 2023 to Jan 17, 2024
- Individual RAUM · $143M to $85.0MApr 5, 2023 to Jan 17, 2024
- Pension RAUM · $45,000 to $1.4MApr 5, 2023 to Jan 17, 2024
- RAUM · $340M to $412MApr 5, 2023 to Jan 17, 2024
- Accounts · 1,025 to 1,117Mar 9, 2022 to Feb 10, 2023
- HNW clients · 155 to 128Mar 9, 2022 to Feb 10, 2023
- Individual clients · 153 to 184Mar 9, 2022 to Feb 10, 2023
- Pension plan clients · unset to 5.0Mar 9, 2022 to Feb 10, 2023
- Employees · 8 to 7Mar 9, 2022 to Feb 10, 2023
- State-registered IARs · 4 to 3Mar 9, 2022 to Feb 10, 2023
- Discretionary RAUM · $412M to $340MMar 9, 2022 to Feb 10, 2023
- HNW RAUM · $321M to $198MMar 9, 2022 to Feb 10, 2023
- Individual RAUM · $90.6M to $143MMar 9, 2022 to Feb 10, 2023
- Pension RAUM · unset to 45000.0Mar 9, 2022 to Feb 10, 2023
- RAUM · $412M to $340MMar 9, 2022 to Feb 10, 2023
- Accounts · 927 to 1,025Sep 29, 2021 to Mar 9, 2022
- Advisory employees · 2 to 4Sep 29, 2021 to Mar 9, 2022
Signals
2 dated events
- E•••••• F•••••••• A•••••••• L•• reported RAUM $535.0M, up 30% from $411.7M (2024-06-18 to 2025-02-07)Feb 7, 2025 · RAUM change · derived
- E•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2021 · 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 email
- c•••••••••@e••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-494-2642reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 855-876-9379reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-494-2600reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- e••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (860) 494-2600reportedpublic record, Form ADV, May 6, 2026
- Contact form
- e••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- e••••••••.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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026