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
T••••• W••••• M••••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Jan 27, 2026 · 3 filings
SEC status approved since Feb 26, 2026
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$134M as of Jul 20, 2026
Jan 27, 2026$134M then
HNW client RAUM$39.3M as of Jul 20, 2026
Jan 27, 2026$39.3M then
State-registered IARs (5.B.3)4 as of Jul 20, 2026
Jan 27, 20264 then
Employees (5.A)7 as of Jul 20, 2026
Jan 27, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $33.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $209,703derivedRAUM 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
- 2.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $13.1M, 58 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$94.7M71%
- High-net-worth individuals$39.3M29%
- Individual clients
- 418reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 639reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.1M for 58 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| K•••••• D••••• T•••••Certified Financial Planner | East Lyme, Ct | May 16, 2024 | 13 y | 5 |
| N••••••• D••••• T••••• | East Lyme, Ct | May 16, 2024 | 11 y | 1 |
| B•••••• R••• O••••••• | East Lyme, Ct | Dec 12, 2025 | 10 y | 2 |
| M••• L••••• B•••••• | East Lyme, Ct | Jan 14, 2026 | 25 y | 12 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- M•••••• C•••••• K••••• to L•• F•••••••• L••Nov 4, 2025 · RIA to affiliated broker-dealer or bank
- B•••• K•••••• M••••• to L•• F•••••••• L••Aug 22, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••• L••••• B•••••• from L•• E••••••••• L••Jan 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••••• R••• O••••••• from P••• A••••• S••••••••• L••Dec 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••• K•••••• M••••• from O•••• I••••••••• I•••Apr 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••••• D••••• T••••• from T••••• A•••• M••••••••• L••May 16, 2024 · RIA to RIA
- N••••••• D••••• T••••• from T••••• A•••• M••••••••• L••May 16, 2024 · RIA to RIA
- M•••••• C•••••• K••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 16, 2024 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••• A•••• M••••••••• L••Jun 28, 2024 · Middletown, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• K••••••• D••••• · Managing Principal / Ccocontrolsince 06/2024 · owns 75% or more
- T•••••• N•••••••• D••••• · Investment Advisor Representativecontrolsince 06/2024 · 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 |
|---|---|---|---|---|---|
| East Lyme, Ct · principal | 4 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 20, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-12, yes on the filing of 2026-07-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 13100000.0Mar 12, 2026 to Jul 20, 2026
- Custody of client assets · false to trueMar 12, 2026 to Jul 20, 2026
Signals
3 dated events
- M•••••• C•••••• K••••• left T••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-11-17)Nov 4, 2025 · Advisor changed firm · fact
- B•••• K•••••• M••••• left T••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-08-22)Aug 22, 2025 · Advisor changed firm · fact
- 2 advisors left T••••• A•••• M••••••••• L•• (Middletown, CT) for T••••• W••••• M••••••••• L•• on the same dayJun 28, 2024 · Team lift-out · derived
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
- 860-650-3005reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (860) 650-3005reportedpublic record, Form ADV, Jul 20, 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
- $33.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026