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

V••• F•••••••• P•••••••• L••

Former SEC-registered adviserWindsor, ConnecticutCRD 34815SEC 801-57637IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 26, 2012 · 35 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$312M as of Mar 29, 2019
Mar 26, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)55 as of Mar 31, 2023
Mar 26, 20120 then
Employees (5.A)55 as of Mar 31, 2023
Mar 7, 201335 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 54 to 55
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
27.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+1.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 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 a broker-dealer (6.A.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E•••••• S•••••• J••••• · Chief Compliance Officercontrol
    since 09/2022 · owns less than 5%
  • E••••••• W•••••• P•••• · Managing Directorcontrol
    since 08/2016 · owns less than 5%
  • H•••••••• K•••••• H•••••••• · Chief Financial Officer/P•••••••• Financial Officer/P•••••••• Operations Officer
    since 04/2008 · owns less than 5%
  • W••••• J•••• M•••••• · Ria Managing Director
    since 04/2022 · owns less than 5%
Entity owners
  • V••• R••••••••• I•••••••• A•• A•••••• C•••••• · Parent
    direct · owns 75% or more · public reporting company
  • V••• F••••••••• I••• · Shareholder
    indirect · owns 75% or more of V••• H•••••••• I••• · public reporting company
  • V••• H•••••••• I••• · Parent
    indirect · owns 75% or more of V••• R••••••••• I•••••••• A•• A•••••• C••••••
Related persons
Schedule D 7.A
Advisers that list V••• F•••••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Braintree, MA1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 3
    Sep 9, 2022 to Mar 31, 2023
  • BD registered reps · 54 to 55
    Sep 9, 2022 to Mar 31, 2023
  • Employees · 54 to 55
    Sep 9, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 14 to 43
    Sep 9, 2022 to Mar 31, 2023
  • State-registered IARs · 54 to 55
    Sep 9, 2022 to Mar 31, 2023
  • BD registered reps · 45 to 54
    Mar 31, 2021 to Mar 31, 2022
  • Employees · 46 to 54
    Mar 31, 2021 to Mar 31, 2022
  • State-registered IARs · 45 to 54
    Mar 31, 2021 to Mar 31, 2022
  • Advisory employees · 8 to 4
    Apr 1, 2020 to Mar 31, 2021
  • BD registered reps · 40 to 45
    Apr 1, 2020 to Mar 31, 2021
  • Individual clients · 1.0 to unset
    Apr 1, 2020 to Mar 31, 2021
  • Pension plan clients · unset to 1.0
    Apr 1, 2020 to Mar 31, 2021
  • Employees · 41 to 46
    Apr 1, 2020 to Mar 31, 2021
  • Insurance-licensed employees · 2 to 14
    Apr 1, 2020 to Mar 31, 2021
  • State-registered IARs · 41 to 45
    Apr 1, 2020 to Mar 31, 2021
  • Individual RAUM · 0.0 to unset
    Apr 1, 2020 to Mar 31, 2021
  • Pension RAUM · unset to 0.0
    Apr 1, 2020 to Mar 31, 2021
  • Accounts · 1.0 to unset
    Oct 8, 2019 to Apr 1, 2020
  • Advisory activities · 2 to 1
    Oct 8, 2019 to Apr 1, 2020
  • BD registered reps · 35 to 40
    Oct 8, 2019 to Apr 1, 2020
  • Employees · 35 to 41
    Oct 8, 2019 to Apr 1, 2020
  • State-registered IARs · 35 to 41
    Oct 8, 2019 to Apr 1, 2020
  • Discretionary RAUM · 0.0 to unset
    Oct 8, 2019 to Apr 1, 2020
  • Individual RAUM · $312M to $0
    Oct 8, 2019 to Apr 1, 2020
  • Non-discretionary RAUM · 311548377.0 to unset
    Oct 8, 2019 to Apr 1, 2020
  • RAUM · 311548377.0 to unset
    Oct 8, 2019 to Apr 1, 2020
  • Individual RAUM · $335M to $312M
    Mar 14, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $335M to $312M
    Mar 14, 2018 to Mar 29, 2019
  • RAUM · $335M to $312M
    Mar 14, 2018 to Mar 29, 2019
  • BD registered reps · 34 to 35
    Mar 30, 2017 to Mar 14, 2018
  • Individual clients · unset to 1.0
    Mar 30, 2017 to Mar 14, 2018
  • Employees · 34 to 35
    Mar 30, 2017 to Mar 14, 2018
  • Insurance-licensed employees · 3 to 2
    Mar 30, 2017 to Mar 14, 2018
  • State-registered IARs · 34 to 35
    Mar 30, 2017 to Mar 14, 2018
  • Other offices · unset to 1.0
    Mar 30, 2017 to Mar 14, 2018
  • Individual RAUM · unset to 334792943.0
    Mar 30, 2017 to Mar 14, 2018
  • Non-discretionary RAUM · $273M to $335M
    Mar 30, 2017 to Mar 14, 2018
  • RAUM · $273M to $335M
    Mar 30, 2017 to Mar 14, 2018
  • BD registered reps · 33 to 34
    Dec 2, 2016 to Mar 30, 2017
  • Employees · 33 to 34
    Dec 2, 2016 to Mar 30, 2017
Signals
11 dated events
  • A•••• D•••• R••••••• left V••• F•••••••• P•••••••• L•• for M••••••••• R••••••••• (registered 2026-07-06)
    Jul 12, 2023 · a•••••• firm change · fact
  • M•••• A•••• I•••••• left V••• F•••••••• P•••••••• L•• for W••••••••• R••••••••• A••••••• (registered 2023-04-26)
    Apr 14, 2023 · a•••••• firm change · fact
  • J•••••• D••• W••••• left V••• F•••••••• P•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-05-22)
    Jan 27, 2023 · a•••••• firm change · fact
  • C••••••• M••• L•• P•••• left V••• F•••••••• P•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-12-04)
    Dec 7, 2022 · a•••••• firm change · fact
  • K••• M• L•••• left V••• F•••••••• P•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-01-11)
    Oct 17, 2022 · a•••••• firm change · fact
  • Stephen Joseph Easton (Chief Compliance Officer) appeared on Schedule A of V••• F•••••••• P•••••••• L••
    Sep 9, 2022 · Control person joined · fact
  • D••••• W•••••• left V••• F•••••••• P•••••••• L•• for M••••••••• R••••••••• (registered 2022-08-12)
    Aug 16, 2022 · a•••••• firm change · fact
  • N••••• C•••••• S••• left V••• F•••••••• P•••••••• L•• for T•• A•••••••• I••• (registered 2024-01-03)
    Apr 26, 2022 · a•••••• firm change · fact
  • A•••• D••• R••• left V••• F•••••••• P•••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2022-06-13)
    Apr 18, 2022 · a•••••• firm change · fact
  • M•••••• M••••• left V••• F•••••••• P•••••••• L•• for C••••• A•••••• N••••••• L•• (registered 2022-11-09)
    Apr 4, 2022 · a•••••• firm change · fact
  • James Luther Iv Nichols (Ria Managing Director) no longer on Schedule A of V••• F•••••••• P•••••••• L•• (listed 2019-10-08, absent 2020-04-01)
    Apr 1, 2020 · Control person left · inference
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026