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Natural language is mapped to bounded SEC/IARD and Form ADV research. Registration is not endorsement, and missing evidence is not a clean history.

We interpreted your question as

Research task: firm discovery
Firm class: RIA + ERA (separate classes)
office state: CT — APPLIED

Natural-language parsing and regulatory execution stay separate. Change the question and resubmit.

Distribution

Matching firm facts584

form_adv_firm_facts rows matching filters

AXIOM INVESTORS
Registered investment adviser (RIA)
CRD
109605
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$28.1 billion ($28,062,906,604.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 109605; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
AYRSHIRE CAPITAL MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
157883
Principal office
WESTPORT, CT, 06880
RAUM (Item 5F(2)(c))
$285.1 million ($285,051,675.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-02-10
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 157883; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
AYRTON CAPITAL LLC
Registered investment adviser (RIA)
CRD
286298
Principal office
WESTPORT, CT, 06880
RAUM (Item 5F(2)(c))
$358.9 million ($358,856,360.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-04-30
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 286298; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BALANCE POINT CAPITAL ADVISORS, LLC
Registered investment adviser (RIA)
CRD
264789
Principal office
WESTPORT, CT, 06880
RAUM (Item 5F(2)(c))
$2.4 billion ($2,442,083,777.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-04-22
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 264789; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BARRON FINANCIAL GROUP, LLP
Registered investment adviser (RIA)
CRD
140504
Principal office
TORRINGTON, CT, 06790
RAUM (Item 5F(2)(c))
$199.1 million ($199,126,279.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Fixed fees
Latest ADV filing in extract
2026-06-22
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 140504; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BASSO CAPITAL MANAGEMENT, L.P.
Registered investment adviser (RIA)
CRD
132311
Principal office
STAMFORD, CT, 06902-3546
RAUM (Item 5F(2)(c))
$2.6 billion ($2,558,086,914.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-05-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 132311; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BASTION MANAGEMENT II LLC
Registered investment adviser (RIA)
CRD
309685
Principal office
STAMFORD, CT, 06901
RAUM (Item 5F(2)(c))
$572.7 million ($572,736,610.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-04-17
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 309685; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BAXTER INVESTMENT MANAGEMENT
Registered investment adviser (RIA)
CRD
106548
Principal office
RIVERSIDE, CT, 06878
RAUM (Item 5F(2)(c))
$1.2 billion ($1,165,631,297.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-03-11
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 106548; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BAYPOINTE PARTNERS, LLC
Registered investment adviser (RIA)
CRD
331273
Principal office
STAMFORD, CT, 06902
RAUM (Item 5F(2)(c))
$270.5 million ($270,500,006.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 331273; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BEIRNE.
Registered investment adviser (RIA)
CRD
167103
Principal office
SHELTON, CT, 06484
RAUM (Item 5F(2)(c))
$2.3 billion ($2,259,001,736.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-07-02
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 167103; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BHARCAP PARTNERS, LLC
Registered investment adviser (RIA)
CRD
315679
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$3.2 billion ($3,240,321,843.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-03-29
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 315679; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BHMS INVESTMENTS, LP
Registered investment adviser (RIA)
CRD
162554
Principal office
WESTPORT, CT, 06880
RAUM (Item 5F(2)(c))
$1.0 billion ($1,005,506,733.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-27
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 162554; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BIRINYI ASSOCIATES, INC.
Registered investment adviser (RIA)
CRD
107169
Principal office
WESTPORT, CT, 06880
RAUM (Item 5F(2)(c))
$471.7 million ($471,664,259.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; Subscription fees; Fixed fees
Latest ADV filing in extract
2026-02-19
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Trace this result
Identity
Firm CRD 107169; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
Public research profile published
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Research this adviser
BLACK OAK CAPITAL MANAGEMENT, LLC
Exempt reporting adviser (ERA)
CRD
286481
Principal office
WESTPORT, CT, 06810
RAUM (Item 5F(2)(c))
ERA filers do not file Item 5F(2)(c) RAUM
Compensation methods (Item 5.E)
Not a Y/N method list on this card
Latest ADV filing in extract
2026-03-25
Source status text
ERA - Active
Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 286481; Exempt reporting adviser (ERA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BLKBRD ASSET MANAGEMENT
Registered investment adviser (RIA)
CRD
329262
Principal office
OLD GREENWICH, CT, 06870
RAUM (Item 5F(2)(c))
$133.9 million ($133,933,044.00)
Compensation methods (Item 5.E)
Performance-based fees; Other
Latest ADV filing in extract
2026-03-31
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 329262; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BLT FUND MANAGER LLC
Registered investment adviser (RIA)
CRD
166743
Principal office
STAMFORD, CT, 06902
RAUM (Item 5F(2)(c))
$487.3 million ($487,325,686.00)
Compensation methods (Item 5.E)
Other
Latest ADV filing in extract
2026-06-10
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 166743; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BLUE DOOR ASSET MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
314457
Principal office
STAMFORD, CT, 06901
RAUM (Item 5F(2)(c))
$187.0 million ($186,994,602.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees; Performance-based fees
Latest ADV filing in extract
2026-05-08
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 314457; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BOLDROSE CAPITAL
Exempt reporting adviser (ERA)
CRD
313272
Principal office
GREENWICH, CT, 06831
RAUM (Item 5F(2)(c))
ERA filers do not file Item 5F(2)(c) RAUM
Compensation methods (Item 5.E)
Not a Y/N method list on this card
Latest ADV filing in extract
2026-03-31
Source status text
ERA - Active
Why this matched. This firm matches because it is classified as an ERA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 313272; Exempt reporting adviser (ERA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BOURGEON CAPITAL MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
108054
Principal office
DARIEN, CT, 06820
RAUM (Item 5F(2)(c))
$1.3 billion ($1,277,800,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-07-16
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 108054; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD
BRADLEY FOSTER & SARGENT INC
Registered investment adviser (RIA)
CRD
106928
Principal office
HARTFORD, CT, 06103-3402
RAUM (Item 5F(2)(c))
$9.1 billion ($9,072,939,203.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Fixed fees
Latest ADV filing in extract
2026-04-06
Source status text
Approved
Why this matched. This firm matches because it is classified as an RIA in the current SEC/IARD roster, it reports its principal office in Connecticut.
Evidence available
SEC/IARD firm identity, current Form ADV facts, reported RAUM, compensation methods, affiliations and filing date where present.
Research identity — public firm report not currently published.
Trace this result
Identity
Firm CRD 106928; Registered investment adviser (RIA)
Source as of
Official publication date not established
Geography meaning
Recorded principal office, not client geography, registration jurisdiction or service territory
Publication
No public research profile is currently published for this identity
RAUM is reported size, not performance. Compensation fields are methods, not fee amounts. Registration is not endorsement.
Open firm search for this CRD

Trace this query

office state: Requested: CT; APPLIED; effective: CT. Recorded principal office, not client geography, registration jurisdiction or service territory. Field/capability: branches.region (is_main_office)
Contract: investor-ask-v1
Source dataset: Not established for all returned rows
Official as-of / retrieved: Not established for all returned rows / 2026-08-18
Source clock meaning: Source releases attached to returned firm facts; unknown publication dates remain unknown. Release labels are not converted to official effective dates.
Geography meaning: Recorded principal office, not client geography, registration jurisdiction or service territory
RAUM units: USD as reported on Form ADV Item 5F(2)(c)
Compensation taxonomy: Form ADV Item 5.E(1)–5.E(7) Y/N methods
Identifier method: Not an identifier query
Elapsed: 195 ms

Ask does not invent firm facts. Results come from the current SEC/IARD extract.
RIA is not ERA. Counts stay in their class.
Principal office is not client geography.
RAUM is Item 5F(2)(c), not performance.
Item 5.E methods are not fee amounts.
Missing disclosure is not a clean history.
Public firm reports are a publication gate (Wave-1), not a ranking.

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Distribution

AXIOM INVESTORS

AYRSHIRE CAPITAL MANAGEMENT LLC

AYRTON CAPITAL LLC

BALANCE POINT CAPITAL ADVISORS, LLC

BARRON FINANCIAL GROUP, LLP

BASSO CAPITAL MANAGEMENT, L.P.

BASTION MANAGEMENT II LLC

BAXTER INVESTMENT MANAGEMENT

BAYPOINTE PARTNERS, LLC

BEIRNE.

BHARCAP PARTNERS, LLC

BHMS INVESTMENTS, LP

BIRINYI ASSOCIATES, INC.

BLACK OAK CAPITAL MANAGEMENT, LLC

BLKBRD ASSET MANAGEMENT

BLT FUND MANAGER LLC

BLUE DOOR ASSET MANAGEMENT, LLC

BOLDROSE CAPITAL

BOURGEON CAPITAL MANAGEMENT LLC

BRADLEY FOSTER & SARGENT INC