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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••• F••••••••• L••
Latest filing Jul 27, 2026
First filing on the tape Oct 30, 2025 · 4 filings
SEC status approved since Dec 2, 2025
RAUM
$111M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
85%
$94.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$111M as of Jul 27, 2026
Oct 30, 2025$109M then
HNW client RAUM$74.0M as of Jul 27, 2026
Oct 30, 2025$72.1M then
State-registered IARs (5.B.3)4 as of Jul 27, 2026
Oct 30, 20254 then
Employees (5.A)6 as of Jul 27, 2026
Oct 30, 20255 then
Private funds1 as of Jul 27, 2026
Mar 30, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 27, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $27.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $608,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$74.0M67%
- Individuals$20.2M18%
- Pension and profit-sharing plans$16.6M15%
- Individual clients
- 34reported
- HNW clients
- 33reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 182reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 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 |
|---|---|---|---|---|
| M•••••• S•••• B••••Chartered Financial Consultant | Mystic, Ct | Apr 29, 2024 | 26 y | 4 |
| R•••• L••• | Hernando, Ms | Aug 5, 2024 | 19 y | 1 |
| L•••••• M•••• C••• | Mystic, Ct | Sep 14, 2024 | 20 y | 1 |
| C••••••••• G•••••• C••••• | Mystic, Ct | Jul 17, 2026 | 13 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- R••• C••••• to P••••••••• L••Mar 25, 2026 · Other
Joined, latest
- C••••••••• G•••••• C••••• from F••••• I•••••••••Jul 17, 2026 · RIA to RIA
- R••• C••••• from K••••• A••••••• S•••••••• L••Dec 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- L•••••• M•••• C••• from A••••••••• F•••••••• S•••••••• L••Sep 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- R•••• L••• from A•••••• A•••••••• L••Aug 5, 2024 · RIA to RIA
- M•••••• S•••• B•••• from A•••••• A•••••••• L••Apr 29, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• S•••• · Principalcontrolsince 02/2024 · owns less than 5%
Entity owners
- A••••••• H•••••• C•••••• L•• · Owner Compliance Officerdirect · 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 |
|---|---|---|---|---|---|
| Mystic, Ct | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 179 to 182Jan 6, 2026 to Mar 30, 2026
- Advisory employees · 5 to 4Jan 6, 2026 to Mar 30, 2026
- Advisory activities · 3 to 4Jan 6, 2026 to Mar 30, 2026
- HNW clients · 24 to 33Jan 6, 2026 to Mar 30, 2026
- Individual clients · 33 to 34Jan 6, 2026 to Mar 30, 2026
- Pension plan clients · 6 to 11Jan 6, 2026 to Mar 30, 2026
- Employees · 7 to 6Jan 6, 2026 to Mar 30, 2026
- Financial planning clients · 11-25 to 1-10Jan 6, 2026 to Mar 30, 2026
- State-registered IARs · 5 to 4Jan 6, 2026 to Mar 30, 2026
- Private funds · unset to 1Jan 6, 2026 to Mar 30, 2026
- Discretionary RAUM · $86.8M to $87.8MJan 6, 2026 to Mar 30, 2026
- HNW RAUM · $72.1M to $74.0MJan 6, 2026 to Mar 30, 2026
- Individual RAUM · $18.9M to $20.2MJan 6, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $22.0M to $23.0MJan 6, 2026 to Mar 30, 2026
- Pension RAUM · $17.8M to $16.6MJan 6, 2026 to Mar 30, 2026
- RAUM · $109M to $111MJan 6, 2026 to Mar 30, 2026
- Advisory employees · 4 to 5Oct 30, 2025 to Jan 6, 2026
- Employees · 5 to 7Oct 30, 2025 to Jan 6, 2026
- State-registered IARs · 4 to 5Oct 30, 2025 to Jan 6, 2026
Signals
1 dated events
- R••• C••••• left A••••••• F••••••••• L•• for P••••••••• L•• (registered 2026-08-11)Mar 25, 2026 · Advisor changed firm · 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 phone
- 855-449-7100reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/apricity-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- apricity-advisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 855-449-7100reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- apricity-advisors.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $27.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026