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.

Former SEC-registered adviser

Westport Capital Markets, LLC

Former SEC-registered adviserWestport, ConnecticutCRD 41562SEC 801-53842IAPD
Latest filing Nov 20, 2020
First filing on the tape Dec 19, 2011 · 33 filings
RAUM
$247M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
29%
$71.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$247M as of Sep 2, 2020
Sep 18, 2012$96.3M then
HNW client RAUM$13.4M as of Sep 2, 2020
Sep 14, 2018$73.8M then
State-registered IARs (5.B.3)5 as of Sep 2, 2020
Sep 18, 20120 then
Employees (5.A)9 as of Sep 2, 2020
Sep 16, 20139 then
Private funds: no history
RAUM -23% over the last fiscal year-1.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Nov 20, 2020; every figure names its basis
RAUM per advisor
$49.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$139,901derivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-25%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$176M71%
  • Individuals$58.3M24%
  • High-net-worth individuals$13.4M5.4%
Individual clients
81reported
HNW clients
96reported
Pension plan clients
18reported
Charitable clients
n/areported
Accounts
195reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Christopher Edward Mcclure · President & Ceo, Cfo, Finop, Chief Compliance Officercontrol
      since 09/2007 · owns 75% or more
    Related persons
    Schedule D 7.A
    • Westport Capital Markets LLC
      broker-dealerreal estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Guilford, CT1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 253 to 195
      Jun 22, 2020 to Sep 2, 2020
    • BD registered reps · 5 to 9
      Jun 22, 2020 to Sep 2, 2020
    • HNW clients · 115 to 96
      Jun 22, 2020 to Sep 2, 2020
    • Individual clients · 120 to 81
      Jun 22, 2020 to Sep 2, 2020
    • Employees · 10 to 9
      Jun 22, 2020 to Sep 2, 2020
    • Discretionary RAUM · $84.7M to $58.4M
      Jun 22, 2020 to Sep 2, 2020
    • HNW RAUM · $81.2M to $13.4M
      Jun 22, 2020 to Sep 2, 2020
    • Individual RAUM · $15.1M to $58.3M
      Jun 22, 2020 to Sep 2, 2020
    • Non-discretionary RAUM · $237M to $189M
      Jun 22, 2020 to Sep 2, 2020
    • Pension RAUM · $225M to $176M
      Jun 22, 2020 to Sep 2, 2020
    • RAUM · $322M to $247M
      Jun 22, 2020 to Sep 2, 2020
    • Accounts · 257 to 253
      Dec 4, 2018 to Sep 26, 2019
    • Advisory activities · 6 to 5
      Dec 4, 2018 to Sep 26, 2019
    • HNW clients · 100 to 115
      Dec 4, 2018 to Sep 26, 2019
    • Individual clients · 137 to 120
      Dec 4, 2018 to Sep 26, 2019
    • Pension plan clients · 20 to 18
      Dec 4, 2018 to Sep 26, 2019
    • Employees · 11 to 10
      Dec 4, 2018 to Sep 26, 2019
    • Financial planning clients · 0 to 1-10
      Dec 4, 2018 to Sep 26, 2019
    • Discretionary RAUM · $82.2M to $84.7M
      Dec 4, 2018 to Sep 26, 2019
    • HNW RAUM · $73.8M to $81.2M
      Dec 4, 2018 to Sep 26, 2019
    • Individual RAUM · $18.5M to $15.1M
      Dec 4, 2018 to Sep 26, 2019
    • Non-discretionary RAUM · $195M to $237M
      Dec 4, 2018 to Sep 26, 2019
    • Pension RAUM · $185M to $225M
      Dec 4, 2018 to Sep 26, 2019
    • RAUM · $277M to $322M
      Dec 4, 2018 to Sep 26, 2019
    • Accounts · 320 to 257
      Jul 3, 2018 to Sep 14, 2018
    • Advisory employees · 9 to 5
      Jul 3, 2018 to Sep 14, 2018
    • BD registered reps · 12 to 5
      Jul 3, 2018 to Sep 14, 2018
    • HNW clients · unset to 100.0
      Jul 3, 2018 to Sep 14, 2018
    • Individual clients · unset to 137.0
      Jul 3, 2018 to Sep 14, 2018
    • Pension plan clients · unset to 20.0
      Jul 3, 2018 to Sep 14, 2018
    • Employees · 13 to 11
      Jul 3, 2018 to Sep 14, 2018
    • State-registered IARs · 8 to 5
      Jul 3, 2018 to Sep 14, 2018
    • Discretionary RAUM · $89.3M to $82.2M
      Jul 3, 2018 to Sep 14, 2018
    • HNW RAUM · unset to 73776413.0
      Jul 3, 2018 to Sep 14, 2018
    • Individual RAUM · unset to 18526577.0
      Jul 3, 2018 to Sep 14, 2018
    • Non-discretionary RAUM · $169M to $195M
      Jul 3, 2018 to Sep 14, 2018
    • Pension RAUM · unset to 185095651.0
      Jul 3, 2018 to Sep 14, 2018
    • RAUM · $259M to $277M
      Jul 3, 2018 to Sep 14, 2018
    • Related broker-dealer · false to true
      Jul 3, 2018 to Sep 14, 2018
    • BD registered reps · 17 to 12
      Aug 18, 2017 to Jul 3, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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