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
I••••••••• A•••• A••••••• G••••
Legal name I••••••••• A•••• A••••••• G••••• L••
Latest filing Mar 19, 2026
First filing on the tape May 21, 2025 · 4 filings
SEC status approved since Jun 24, 2025
RAUM
$298M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$298M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$24.8M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$298M as of Mar 19, 2026
May 21, 2025$0 then
HNW client RAUM$206M as of Mar 19, 2026
Oct 30, 2025$69.8M then
State-registered IARs (5.B.3)11 as of Mar 19, 2026
May 21, 20251 then
Employees (5.A)13 as of Mar 19, 2026
May 21, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $24.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $447,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived4 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $298M, 666 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$206M69%
- Individuals$91.5M31%
- Individual clients
- 309reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 666reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $298M for 666 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• V•••••• M••••••• | Shelton, Ct | Jun 30, 2025 | 21 y | 1 |
| C•••• A• T••••••Certified Financial Planner | Shelton, Ct | Sep 29, 2025 | 39 y | 5 |
| K••••••• A• G••••••• | Shelton, Ct | Sep 29, 2025 | 18 y | 2 |
| M•••••• J••••• A••••••••• | Shelton, Ct | Oct 1, 2025 | 34 y | 4 |
| E••••• A••••• T••••••Certified Financial Planner | Shelton, Ct | Nov 13, 2025 | 39 y | 4 |
| M•••••• M•••• | Shelton, Ct | Nov 13, 2025 | 25 y | 3 |
| C•••••• C•••••• W•••••• | Shelton, Ct | Nov 24, 2025 | 25 y | 2 |
| D•••• P••• P••••••••• | Shelton, Ct | Jan 9, 2026 | 12 y | 0 |
| D••••• Z•••••• | Shelton, Ct | Jan 29, 2026 | 23 y | 0 |
| K•••••• S•••• A••••••• | Shelton, Ct | Jan 29, 2026 | 10 y | 0 |
| M•••••• A••••••• | Shelton, Ct | Jan 29, 2026 | 13 y | 0 |
| A••••• G•••• Z•••••• | Shelton, Ct | Mar 18, 2026 | 11 y | 0 |
Advisor movement
0 left, 6 joined in 12 months
net +6 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
- C•••••• C•••••• W•••••• from C••••• A••••••• I••Nov 24, 2025 · RIA to RIA
- M•••••• M•••• from F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Nov 13, 2025 · RIA to RIA
- E••••• A••••• T•••••• from F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Nov 13, 2025 · RIA to RIA
- M•••••• J••••• A••••••••• from S••••••• W••••• M••••••••• L••Oct 1, 2025 · RIA to a newly registered adviser
- C•••• A• T•••••• from F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Sep 29, 2025 · RIA to a newly registered adviser
- K••••••• A• G••••••• from F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Sep 29, 2025 · RIA to a newly registered adviser
- A•••••• V•••••• M••••••• from K•••••• O• C••••••• A•••• A••••••• L••Jun 30, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Dec 22, 2025 · Shelton, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• A••••••• V•••••• · Chief Executive / Principal Investorcontrolsince 05/2025 · owns 75% or more
- P••••••••• A•••••• · Chief Operating Officer/Chief Financial Officercontrolsince 05/2025 · owns less than 5%
- S••••••• L•••••• E• · Principal Investorsince 02/2025 · owns less than 5%
- S••••• C••••••• D••••• · Principal Investorsince 02/2025 · owns 10% to 25%
- S••••••• W••••••• H•••• · Chief Compliance Officersince 11/2025 · owns less than 5%
Entity owners
- B••••••• C•••••• I• L• · Principal Investordirect · owns 10% to 25%
- I••••••••• C•• G••••• L•• · Principal Investordirect · 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 |
|---|---|---|---|---|---|
| Shelton, Ct · principal | 12 | 11 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-03, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
- affiliate changedChange between filings · filing Mar 19, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-12-03, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 290 to 666Dec 3, 2025 to Mar 19, 2026
- Advisory employees · 4 to 11Dec 3, 2025 to Mar 19, 2026
- HNW clients · 20 to 64Dec 3, 2025 to Mar 19, 2026
- Individual clients · 173 to 309Dec 3, 2025 to Mar 19, 2026
- Assets in custody · unset to 297932861.0Dec 3, 2025 to Mar 19, 2026
- Custody of client assets · false to trueDec 3, 2025 to Mar 19, 2026
- Employees · 11 to 13Dec 3, 2025 to Mar 19, 2026
- Insurance-licensed employees · 2 to 0Dec 3, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 1-10Dec 3, 2025 to Mar 19, 2026
- State-registered IARs · 4 to 11Dec 3, 2025 to Mar 19, 2026
- Other offices · 0 to 3Dec 3, 2025 to Mar 19, 2026
- Discretionary RAUM · $134M to $298MDec 3, 2025 to Mar 19, 2026
- HNW RAUM · $69.8M to $206MDec 3, 2025 to Mar 19, 2026
- Individual RAUM · $64.7M to $91.5MDec 3, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $241,000 to $0Dec 3, 2025 to Mar 19, 2026
- RAUM · $134M to $298MDec 3, 2025 to Mar 19, 2026
- Related adviser · false to trueDec 3, 2025 to Mar 19, 2026
- Related insurance company · false to trueDec 3, 2025 to Mar 19, 2026
- Accounts · 0 to 290May 21, 2025 to Oct 30, 2025
- Advisory employees · 1 to 4May 21, 2025 to Oct 30, 2025
- HNW clients · unset to 20.0May 21, 2025 to Oct 30, 2025
- Individual clients · unset to 173.0May 21, 2025 to Oct 30, 2025
- Employees · 1 to 11May 21, 2025 to Oct 30, 2025
- Insurance-licensed employees · 0 to 2May 21, 2025 to Oct 30, 2025
- Financial planning clients · 0 to 0May 21, 2025 to Oct 30, 2025
- State-registered IARs · 1 to 4May 21, 2025 to Oct 30, 2025
- Discretionary RAUM · $0 to $134MMay 21, 2025 to Oct 30, 2025
- HNW RAUM · unset to 69756000.0May 21, 2025 to Oct 30, 2025
- Individual RAUM · unset to 64734000.0May 21, 2025 to Oct 30, 2025
- Non-discretionary RAUM · $0 to $241,000May 21, 2025 to Oct 30, 2025
- RAUM · $0 to $134MMay 21, 2025 to Oct 30, 2025
Signals
2 dated events
- I••••••••• A•••• A••••••• G•••• reported RAUM $297.9M, up 122% from $134.5M (2025-12-03 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••'s advisors moved to I••••••••• A•••• A••••••• G•••• (Shelton, CT): 4 of 4 registered, on the same dayDec 22, 2025 · Firm absorbed (people side) · 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 email
- info@innovativeaag.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 475-256-0174reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- innovativeaag.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-444-3599reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- innovativeaag.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
- $24.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026