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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Former SEC-registered adviser

S•• W••••• M••••••••• L••

Former SEC-registered adviserCRD 337373SEC 801-133852IAPD
Latest filing Jan 28, 2026
First filing on the tape Jun 10, 2025 · 3 filings
SEC status 120-day approval since Jul 10, 2025
RAUM
$18.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$18.7M
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
RAUM$18.7M as of Jan 28, 2026
Jun 10, 2025$0 then
HNW client RAUM$16.3M as of Jan 28, 2026
Nov 7, 2025$16.3M then
State-registered IARs (5.B.3)1 as of Jan 28, 2026
Jun 10, 20251 then
Employees (5.A)1 as of Jan 28, 2026
Jun 10, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
RAUM per advisor
$18.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$457,229derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$16.3M87%
  • Individuals$2.4M13%
Individual clients
5reported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• K• M••••••Wethersfield, CtJan 30, 202620 y6
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 41
      Jun 10, 2025 to Nov 7, 2025
    • HNW clients · unset to 11.0
      Jun 10, 2025 to Nov 7, 2025
    • Individual clients · unset to 5.0
      Jun 10, 2025 to Nov 7, 2025
    • Financial planning clients · 0 to 0
      Jun 10, 2025 to Nov 7, 2025
    • Discretionary RAUM · $0 to $18.7M
      Jun 10, 2025 to Nov 7, 2025
    • HNW RAUM · unset to 16349682.0
      Jun 10, 2025 to Nov 7, 2025
    • Individual RAUM · unset to 2396720.0
      Jun 10, 2025 to Nov 7, 2025
    • RAUM · $0 to $18.7M
      Jun 10, 2025 to Nov 7, 2025
    Signals
    1 dated events
    • S•• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $18.7M)
      Apr 1, 2026 · Left the SEC roster · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $18.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026