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
C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 27, 2024 · 6 filings
SEC status approved since Apr 26, 2024
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
24
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$202M as of Mar 27, 2026
Jan 17, 2025$208M then
HNW client RAUM$0 as of Mar 27, 2026
Jan 17, 2025$0 then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Jan 17, 20252 then
Employees (5.A)24 as of Mar 27, 2026
Jan 17, 20253 then
Private funds1 as of Mar 27, 2026
Jan 17, 20251 then
RAUM -3.1% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM 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
- $202MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$202M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• L• W••• | Norwalk, Ct | Apr 26, 2024 | 9 y | 0 |
| A••••• J••• P•••••• | Norwalk, Ct | Apr 26, 2024 | 14 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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U••••• S•••••••• A••••••• •••• Q•••••••• O••••••••• F••• L• | Private Equity Fund | $0 | 5 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- L•••• C••••••• T••••••• · President & Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- L•••• K•••••••• J••••• · General Counselcontrolsince 04/2019 · owns less than 5%
- L•••• K•••••••• J••••• · Ownercontrolsince 05/2018 · owns 50% to 75% of P•••••• • C•
- P••••••• A•••••• J••• · Ownercontrolsince 05/2018 · owns 50% to 75% of P•••••• • C•
Entity owners
- C•••••• I••••• I••••••••• · Ownerdirect · owns 75% or more
- P•••••• • C• · Ownerindirect · owns 50% to 75% of C•••••• I••••• I•••••••••
- R••••••••• C••••••• L•• · Ownerindirect · owns 25% to 50% of C•••••• I••••• I•••••••••
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 14.0 to 24.0 (+71.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was 0.0% (393 comparable advisers, 99.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 7 to 9May 12, 2025 to Mar 27, 2026
- Assets in custody · $205M to $0May 12, 2025 to Mar 27, 2026
- Employees · 14 to 24May 12, 2025 to Mar 27, 2026
- Discretionary RAUM · $205M to $202MMay 12, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $205M to $202MMay 12, 2025 to Mar 27, 2026
- RAUM · $205M to $202MMay 12, 2025 to Mar 27, 2026
- Assets in custody · $208M to $205MMar 26, 2025 to May 12, 2025
- Financial planning clients · 0 to 0Mar 26, 2025 to May 12, 2025
- Discretionary RAUM · $208M to $205MMar 26, 2025 to May 12, 2025
- Pooled vehicle RAUM · $208M to $205MMar 26, 2025 to May 12, 2025
- RAUM · $208M to $205MMar 26, 2025 to May 12, 2025
- Advisory employees · 2 to 7Jan 17, 2025 to Mar 26, 2025
- Assets in custody · $208M to $208MJan 17, 2025 to Mar 26, 2025
- Employees · 3 to 14Jan 17, 2025 to Mar 26, 2025
- Financial planning clients · unset to 0Jan 17, 2025 to Mar 26, 2025
- Discretionary RAUM · $208M to $208MJan 17, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · $208M to $208MJan 17, 2025 to Mar 26, 2025
- RAUM · $208M to $208MJan 17, 2025 to Mar 26, 2025
- Accounts · 0 to 1Mar 27, 2024 to Sep 25, 2024
- Pooled vehicle clients · 0 to 1Mar 27, 2024 to Sep 25, 2024
- Assets in custody · $0 to $208MMar 27, 2024 to Sep 25, 2024
- Discretionary RAUM · $0 to $208MMar 27, 2024 to Sep 25, 2024
- Pooled vehicle RAUM · $0 to $208MMar 27, 2024 to Sep 25, 2024
- RAUM · $0 to $208MMar 27, 2024 to Sep 25, 2024
Signals
1 dated events
- C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-299-2376reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026