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
D••••• A••••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Sep 27, 2022 · 10 filings
SEC status approved since Oct 27, 2022
RAUM
$307M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
42%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$307M as of Aug 5, 2026
Mar 30, 2023$110M then
HNW client RAUM$96.5M as of Aug 5, 2026
Mar 30, 2023$16.1M then
State-registered IARs (5.B.3)2 as of Aug 5, 2026
Mar 30, 20232 then
Employees (5.A)3 as of Aug 5, 2026
Mar 30, 20232 then
Private funds: no history
RAUM +15% over the last fiscal year+41% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 5, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $954,950derivedHNW RAUM over HNW clients
- Average account
- $985,535derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 47%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$146M47%
- High-net-worth individuals$96.5M31%
- Corporations and businesses$34.0M11%
- Individuals$31.5M10%
- Individual clients
- 103reported
- HNW clients
- 101reported
- Pension plan clients
- 98reported
- Charitable clients
- n/areported
- Accounts
- 312reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.42 fund_share=0.0 institutional_share=0.47 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• C•••• | Monroe, Ct | Feb 1, 2023 | 14 y | 2 |
| R••••• G••••• D••••• | Monroe, Ct | Feb 16, 2023 | 17 y | 0 |
| M•••••• K••••••• D••••• | Monroe, Ct | Jul 6, 2026 | 17 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• K••••••• D••••• from L•• F•••••••• L••Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• C•••• from M•• I•••••••• S•••••••• L••Feb 1, 2023 · 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
- C••••• K••••• C•••••••• · Director Of Wealth Management / Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- D•••••• M••••••• K••••••• · Managing Member / Managing Partnercontrolsince 09/2022 · owns 75% or more
- D•••••• R•••••• G••••• · Managing Partnercontrolsince 09/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Monroe, 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
- high institutional concentrationStatic outlier · filing Aug 5, 2026institutional share of RAUM of 47% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 15.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 27.0% to 78.0% between the annual amendments of 2025-03-07 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 302 to 312Mar 7, 2025 to Mar 27, 2026
- Corporate clients · unset to 6.0Mar 7, 2025 to Mar 27, 2026
- HNW clients · 70 to 101Mar 7, 2025 to Mar 27, 2026
- Individual clients · 115 to 103Mar 7, 2025 to Mar 27, 2026
- Pension plan clients · 80 to 98Mar 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $72.6M to $241MMar 7, 2025 to Mar 27, 2026
- HNW RAUM · $50.0M to $96.5MMar 7, 2025 to Mar 27, 2026
- Individual RAUM · $58.6M to $31.5MMar 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $194M to $66.2MMar 7, 2025 to Mar 27, 2026
- Pension RAUM · $128M to $146MMar 7, 2025 to Mar 27, 2026
- RAUM · $267M to $307MMar 7, 2025 to Mar 27, 2026
- Accounts · 452 to 302Mar 22, 2024 to Mar 7, 2025
- Advisory employees · 3 to 2Mar 22, 2024 to Mar 7, 2025
- BD registered reps · 0 to 2Mar 22, 2024 to Mar 7, 2025
- Corporate clients · 1.0 to unsetMar 22, 2024 to Mar 7, 2025
- HNW clients · 40 to 70Mar 22, 2024 to Mar 7, 2025
- Individual clients · 194 to 115Mar 22, 2024 to Mar 7, 2025
- Pension plan clients · 65 to 80Mar 22, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 7, 2025
- State-registered IARs · 3 to 2Mar 22, 2024 to Mar 7, 2025
- Discretionary RAUM · $63.2M to $72.6MMar 22, 2024 to Mar 7, 2025
- HNW RAUM · $21.6M to $50.0MMar 22, 2024 to Mar 7, 2025
- Individual RAUM · $61.6M to $58.6MMar 22, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $150M to $194MMar 22, 2024 to Mar 7, 2025
- Pension RAUM · $98.2M to $128MMar 22, 2024 to Mar 7, 2025
- RAUM · $213M to $267MMar 22, 2024 to Mar 7, 2025
- Accounts · 177 to 452Oct 24, 2023 to Mar 22, 2024
- Advisory employees · 2 to 3Oct 24, 2023 to Mar 22, 2024
- BD registered reps · 1 to 0Oct 24, 2023 to Mar 22, 2024
- HNW clients · 27 to 40Oct 24, 2023 to Mar 22, 2024
- Individual clients · 52 to 194Oct 24, 2023 to Mar 22, 2024
- Pension plan clients · 45 to 65Oct 24, 2023 to Mar 22, 2024
- Employees · 2 to 3Oct 24, 2023 to Mar 22, 2024
- Insurance-licensed employees · 0 to 1Oct 24, 2023 to Mar 22, 2024
- State-registered IARs · 2 to 3Oct 24, 2023 to Mar 22, 2024
- Discretionary RAUM · $37.3M to $63.2MOct 24, 2023 to Mar 22, 2024
- HNW RAUM · $16.1M to $21.6MOct 24, 2023 to Mar 22, 2024
- Individual RAUM · $5.5M to $61.6MOct 24, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $72.6M to $150MOct 24, 2023 to Mar 22, 2024
- Pension RAUM · $72.6M to $98.2MOct 24, 2023 to Mar 22, 2024
Signals
3 dated events
- D••••• A••••••••• L•• reported RAUM $213.2M, up 94% from $109.9M (2023-10-24 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Christian K•••• C•••• (Director Of Wealth Management / Chief Compliance Officer) appeared on Schedule A of D••••• A••••••••• L••Feb 17, 2023 · Control person joined · fact
- D••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Sep 27, 2022 · 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
- info@dunbarassociatesllc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-880-5716reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- dunbarassociatesllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 880-5716reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- dunbarassociatesllc.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026