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D••••••• A•••• M••••••••• ••• L••

Asset manager (funds and pooled vehicles)SEC-registeredwebsite

Asset manager (funds and pooled vehicles), reporting $318M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$318M
Form ADV
Advisors
0
IAPD
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    D••••••• A•••• M••••••••• ••• L•• appeared on Schedule A as an owner on 31 Mar 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 334438 · SEC 801-132759 · 3 filingsShow
CRD 334438SEC 801-132759First filing on the tape May 9, 2025, latest Mar 31, 2026SEC status approved since May 12, 2025IAPD
RAUM
$318M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts May 9, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$318M as of Mar 31, 2026
May 9, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
May 9, 20250 then
Employees (5.A)1 as of Mar 31, 2026
May 9, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM 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
$106MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office 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
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$318M, 3 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$318M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$318M for 3 clientsreported
Compensation
n/areported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • V••••••• L•••• · Cco, Directorcontrol
        since 08/2024 · owns less than 5%
      Entity owners
      • D••••••• A•••• M••••••••• ••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Mar 31, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (1568 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: asset managers, $100M to $500M (1,568) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Sep 4, 2025 to Mar 31, 2026
      • Pooled vehicle clients · 4 to 3
        Sep 4, 2025 to Mar 31, 2026
      • Assets in custody · $295M to $318M
        Sep 4, 2025 to Mar 31, 2026
      • HQ city · WILTON to
        Sep 4, 2025 to Mar 31, 2026
      • HQ state · CT to
        Sep 4, 2025 to Mar 31, 2026
      Full history · 16 changes
      • Non-discretionary RAUM · $295M to $318M
        Sep 4, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $295M to $318M
        Sep 4, 2025 to Mar 31, 2026
      • RAUM · $295M to $318M
        Sep 4, 2025 to Mar 31, 2026
      • Accounts · 0 to 2
        May 9, 2025 to Sep 4, 2025
      • Pooled vehicle clients · unset to 4.0
        May 9, 2025 to Sep 4, 2025
      • Assets in custody · unset to 294600000.0
        May 9, 2025 to Sep 4, 2025
      • Custody of client assets · false to true
        May 9, 2025 to Sep 4, 2025
      • Non-discretionary RAUM · $0 to $295M
        May 9, 2025 to Sep 4, 2025
      • Pooled vehicle RAUM · unset to 294600000.0
        May 9, 2025 to Sep 4, 2025
      • RAUM · $0 to $295M
        May 9, 2025 to Sep 4, 2025
      • Related bank · false to true
        May 9, 2025 to Sep 4, 2025
      Signals
      1 dated events
      • ••• Locked
        May 9, 2025 · First SEC registration · 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.