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
F••• W••••• M••••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Feb 16, 2024 · 11 filings
SEC status approved since Mar 19, 2024
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$249M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$56.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$282M as of Jun 23, 2026
Mar 13, 2025$107M then
HNW client RAUM$159M as of Jun 23, 2026
Mar 13, 2025$71.1M then
State-registered IARs (5.B.3)4 as of Jun 23, 2026
Mar 13, 20252 then
Employees (5.A)4 as of Jun 23, 2026
Mar 13, 20252 then
Private funds: no history
RAUM +163% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Sep 4, 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
- RAUM per advisor
- $56.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $266,995derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M57%
- Individuals$90.1M32%
- Pension and profit-sharing plans$30.9M11%
- Individual clients
- 378reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,058reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• M••••• G••••••Certified Financial Planner | Plainfield, Ct | Mar 19, 2024 | 22 y | 4 |
| R••• P• B••••••• | Plainfield, Ct | Jun 14, 2024 | 20 y | 2 |
| D••••• F•••••• M•••••••Certified Financial Planner | Plainfield, Ct | Jan 28, 2026 | 39 y | 2 |
| D••••• C•••••• M••••••• | Plantsville, Ct | Jan 28, 2026 | 16 y | 0 |
| D••••• P•••• D••••••••• | Plainfield, Ct | Apr 2, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D••••• F•••••• M••••••• from C••••••••• F•••••••• N••••••Jan 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••• P• B••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• M••••• G•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 19, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 11, 2024 · Kennesaw, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• W••••••• M••••• · Member, Ccocontrolsince 02/2024 · 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 |
|---|---|---|---|---|---|
| Plainfield, Ct · principal | 5 | 3 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 | ||
| Plantsville, Ct | 2 | 2 | 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 mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 89.0% to 65.0% between the annual amendments of 2025-03-13 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 66.0% to 39.0% between the annual amendments of 2025-03-13 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jun 23, 2026 to Sep 4, 2026
- Succession · false to unsetJun 23, 2026 to Sep 4, 2026
- Accounts · 421 to 1,058Mar 31, 2026 to Jun 23, 2026
- HNW clients · 23 to 69Mar 31, 2026 to Jun 23, 2026
- Individual clients · 156 to 378Mar 31, 2026 to Jun 23, 2026
- Pension plan clients · 1.0 to unsetMar 31, 2026 to Jun 23, 2026
- Discretionary RAUM · $138M to $282MMar 31, 2026 to Jun 23, 2026
- HNW RAUM · $54.5M to $159MMar 31, 2026 to Jun 23, 2026
- Individual RAUM · $34.9M to $90.1MMar 31, 2026 to Jun 23, 2026
- Pension RAUM · $72,944 to $30.9MMar 31, 2026 to Jun 23, 2026
- RAUM · $138M to $282MMar 31, 2026 to Jun 23, 2026
- Accounts · 382 to 421Jan 14, 2026 to Mar 31, 2026
- Advisory employees · 2 to 4Jan 14, 2026 to Mar 31, 2026
- Advisory activities · 2 to 3Jan 14, 2026 to Mar 31, 2026
- Corporate clients · 10.0 to unsetJan 14, 2026 to Mar 31, 2026
- HNW clients · 40 to 23Jan 14, 2026 to Mar 31, 2026
- Individual clients · 117 to 156Jan 14, 2026 to Mar 31, 2026
- Pension plan clients · unset to 1.0Jan 14, 2026 to Mar 31, 2026
- Employees · 2 to 4Jan 14, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 26-50Jan 14, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 4Jan 14, 2026 to Mar 31, 2026
- Discretionary RAUM · $93.8M to $138MJan 14, 2026 to Mar 31, 2026
- HNW RAUM · $71.1M to $54.5MJan 14, 2026 to Mar 31, 2026
- Individual RAUM · $24.6M to $34.9MJan 14, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $13.5M to $0Jan 14, 2026 to Mar 31, 2026
- Pension RAUM · unset to 72944.0Jan 14, 2026 to Mar 31, 2026
- RAUM · $107M to $138MJan 14, 2026 to Mar 31, 2026
- Related insurance company · false to trueJan 14, 2026 to Mar 31, 2026
- Accounts · 361 to 382Jul 26, 2024 to Mar 13, 2025
- Corporate clients · 12 to 10Jul 26, 2024 to Mar 13, 2025
- HNW clients · 38 to 40Jul 26, 2024 to Mar 13, 2025
- Individual clients · 110 to 117Jul 26, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Jul 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $89.7M to $93.8MJul 26, 2024 to Mar 13, 2025
- HNW RAUM · $70.9M to $71.1MJul 26, 2024 to Mar 13, 2025
- Individual RAUM · $20.6M to $24.6MJul 26, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $13.0M to $13.5MJul 26, 2024 to Mar 13, 2025
- RAUM · $103M to $107MJul 26, 2024 to Mar 13, 2025
- Accounts · 0 to 361Jun 25, 2024 to Jul 26, 2024
- Corporate clients · unset to 12.0Jun 25, 2024 to Jul 26, 2024
Signals
3 dated events
- F••• W••••• M••••••••• L•• reported RAUM $282.5M, up 104% from $138.4M (2026-03-31 to 2026-06-23)Jun 23, 2026 · RAUM change · derived
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Kennesaw, GA) for F••• W••••• M••••••••• L•• on the same dayJul 11, 2024 · Team lift-out · derived
- F••• W••••• filed its initial SEC registration (Form ADV)Feb 16, 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
- Business email
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-420-5234reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-420-5234reportedpublic record, Form ADV, Sep 4, 2026
- Team page
- f•••••••••.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
- $56.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026