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
A••••• I••••••••• M••••••••• L••
Latest filing May 27, 2026
First filing on the tape Apr 28, 2025 · 5 filings
SEC status approved since May 29, 2025
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$82.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.3M
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
5 filings and snapshots on the tape
RAUM$124M as of May 27, 2026
Apr 28, 2025$0 then
HNW client RAUM$79.9M as of May 27, 2026
Sep 25, 2025$78.1M then
State-registered IARs (5.B.3)3 as of May 27, 2026
Apr 28, 20250 then
Employees (5.A)4 as of May 27, 2026
Apr 28, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of May 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $490,133derivedHNW RAUM over HNW clients
- Average account
- $583,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $28.9M, 60 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$79.9M65%
- Charitable organizations$35.7M29%
- Pension and profit-sharing plans$4.2M3.4%
- Individuals$2.2M1.8%
- Corporations and businesses$1.8M1.4%
- Individual clients
- 31reported
- HNW clients
- 163reported
- Pension plan clients
- 12reported
- Charitable clients
- 4reported
- Accounts
- 212reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.9M for 60 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• E• C••••••••• | Wilton, Ct | Jun 10, 2025 | 35 y | 2 |
| H•••••• S•••• S•••••••• | Wilton, Ct | Jun 11, 2025 | 25 y | 5 |
| J•• H• | Wilton, Ct | Jun 11, 2025 | 10 y | 2 |
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
- H•••••• S•••• S•••••••• from R•••• R••• A••••••• L••Jun 11, 2025 · RIA to a newly registered adviser
- J•• H• from R•••• R••• A••••••• L••Jun 11, 2025 · RIA to a newly registered adviser
- N•••• E• C••••••••• from R•••• R••• A••••••• L••Jun 10, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••• R••• A••••••• L••Jun 10, 2025 · Wilton, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•• J•• · Chief Executive Officer/Chief Compliance Officercontrolsince 04/2025 · 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 |
|---|---|---|---|---|---|
| Wilton, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 203 to 212Jan 9, 2026 to Mar 30, 2026
- Advisory employees · 3 to 4Jan 9, 2026 to Mar 30, 2026
- Corporate clients · unset to 2.0Jan 9, 2026 to Mar 30, 2026
- HNW clients · 150 to 163Jan 9, 2026 to Mar 30, 2026
- Assets in custody · $0 to $28.9MJan 9, 2026 to Mar 30, 2026
- Employees · 3 to 4Jan 9, 2026 to Mar 30, 2026
- Insurance-licensed employees · 3 to 0Jan 9, 2026 to Mar 30, 2026
- State-registered IARs · 0 to 3Jan 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $119M to $124MJan 9, 2026 to Mar 30, 2026
- HNW RAUM · $78.1M to $79.9MJan 9, 2026 to Mar 30, 2026
- Individual RAUM · $2.3M to $2.2MJan 9, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $4.5M to $0Jan 9, 2026 to Mar 30, 2026
- Pension RAUM · $4.1M to $4.2MJan 9, 2026 to Mar 30, 2026
- RAUM · $124M to $124MJan 9, 2026 to Mar 30, 2026
- Accounts · 0 to 203Apr 28, 2025 to Sep 25, 2025
- Charity clients · unset to 4.0Apr 28, 2025 to Sep 25, 2025
- HNW clients · unset to 150.0Apr 28, 2025 to Sep 25, 2025
- Individual clients · unset to 31.0Apr 28, 2025 to Sep 25, 2025
- Pension plan clients · unset to 12.0Apr 28, 2025 to Sep 25, 2025
- Discretionary RAUM · $0 to $119MApr 28, 2025 to Sep 25, 2025
- HNW RAUM · unset to 78131060.0Apr 28, 2025 to Sep 25, 2025
- Individual RAUM · unset to 2259386.0Apr 28, 2025 to Sep 25, 2025
- Non-discretionary RAUM · $0 to $4.5MApr 28, 2025 to Sep 25, 2025
- Pension RAUM · unset to 4124239.0Apr 28, 2025 to Sep 25, 2025
- RAUM · $0 to $124MApr 28, 2025 to Sep 25, 2025
Signals
1 dated events
- 3 advisors left R•••• R••• A••••••• L•• (Wilton, CT) for A••••• I••••••••• M••••••••• L•• on the same dayJun 10, 2025 · 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
- 203-920-1011reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 920-1011reportedpublic record, Form ADV, May 27, 2026
- Contact form
- agilisim.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- agilisim.com/teamreportedpublished 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
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026