Ask: Connecticut investor research page.

Research investment advisers

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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

DRUM HILL CAPITAL, LLC
Registered investment adviser (RIA)
CRD
123359
Principal office
WESTPORT, CT, 06880-5430
RAUM (Item 5F(2)(c))
$194.3 million ($194,280,234.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges; 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 123359; 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
DUKE FUNDING MANAGEMENT, L.L.C.
Registered investment adviser (RIA)
CRD
117590
Principal office
OLD GREENWICH, CT, 06870
RAUM (Item 5F(2)(c))
$126.9 million ($126,850,250.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-30
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 117590; 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
DUNBAR ASSOCIATES, LLC
Registered investment adviser (RIA)
CRD
323134
Principal office
MONROE, CT, 06468
RAUM (Item 5F(2)(c))
$307.5 million ($307,487,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 323134; 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
DUNHAM LANE CAPITAL PARTNERS LLC
Registered investment adviser (RIA)
CRD
283276
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$117.2 million ($117,168,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-24
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 283276; 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
DWM ASSET MANAGEMENT, LLC
Registered investment adviser (RIA)
CRD
143224
Principal office
STAMFORD, CT, 06902
RAUM (Item 5F(2)(c))
$645.0 million ($645,032,634.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-30
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 143224; 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
DYNAMIC BETA INVESTMENTS LLC
Registered investment adviser (RIA)
CRD
164972
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$5.7 billion ($5,674,259,082.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 164972; 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
EAGLE CAPITAL ADVISORS, LLC
Registered investment adviser (RIA)
CRD
173730
Principal office
MIDDLEBURY, CT, 06762
RAUM (Item 5F(2)(c))
$103.0 million ($102,973,611.00)
Compensation methods (Item 5.E)
Percentage of assets under management
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 173730; 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
EAGLE HEALTH INVESTMENTS LP
Registered investment adviser (RIA)
CRD
309210
Principal office
GREENWICH, CT, 06831
RAUM (Item 5F(2)(c))
$605.3 million ($605,257,757.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-28
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 309210; 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
EAGLE POINT CREDIT MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
166370
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$13.2 billion ($13,243,794,410.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees; Other
Latest ADV filing in extract
2026-07-14
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 166370; 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
EAGLE POINT DEFENSIVE INCOME MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
328508
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$183.5 million ($183,519,998.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-14
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 328508; 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
EAGLE POINT ENHANCED INCOME MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
327357
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$124.1 million ($124,084,657.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-07-14
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 327357; 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
EAGLE POINT INCOME MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
299198
Principal office
GREENWICH, CT, 06830
RAUM (Item 5F(2)(c))
$457.9 million ($457,851,840.00)
Compensation methods (Item 5.E)
Percentage of assets under management
Latest ADV filing in extract
2026-07-14
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 299198; 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
EAST GUILFORD FINANCIAL SERVICES LLC
Registered investment adviser (RIA)
CRD
127481
Principal office
MADISON, CT, 06443
RAUM (Item 5F(2)(c))
$193.1 million ($193,073,861.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Hourly charges
Latest ADV filing in extract
2026-03-24
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 127481; 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
EASTERN ASSET MANAGEMENT LLC
Exempt reporting adviser (ERA)
CRD
339499
Principal office
GREENWICH, CT, 06830
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
2026-06-17
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 339499; 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
EDGE PARTNERS CAPITAL LLC
Exempt reporting adviser (ERA)
CRD
330669
Principal office
WESTPORT, CT, 06880
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
2026-05-29
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 330669; 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
EDGEWOOD CAPITAL ADVISORS, LLC
Exempt reporting adviser (ERA)
CRD
164110
Principal office
SOUTHPORT, CT, 06890-1267
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
2026-03-26
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 164110; 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
EDGEWOOD MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
106647
Principal office
GREENWICH, CT, 06830-7181
RAUM (Item 5F(2)(c))
$21.5 billion ($21,516,592,879.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-07-30
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 106647; 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
EDGEWORTH CAPITAL, INC.
Exempt reporting adviser (ERA)
CRD
327432
Principal office
GREENWICH, CT, 06830
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
2026-07-01
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 327432; 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
EDUCATION GROWTH PARTNERS, LLC
Registered investment adviser (RIA)
CRD
166162
Principal office
STAMFORD, CT, 06901
RAUM (Item 5F(2)(c))
$347.1 million ($347,122,552.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-30
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 166162; 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
ELLINGTON CREDIT COMPANY MANAGEMENT LLC
Registered investment adviser (RIA)
CRD
168311
Principal office
OLD GREENWICH, CT, 06870
RAUM (Item 5F(2)(c))
$415.0 million ($414,963,000.00)
Compensation methods (Item 5.E)
Percentage of assets under management; Performance-based fees
Latest ADV filing in extract
2026-03-30
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 168311; 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: 198 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

DRUM HILL CAPITAL, LLC

DUKE FUNDING MANAGEMENT, L.L.C.

DUNBAR ASSOCIATES, LLC

DUNHAM LANE CAPITAL PARTNERS LLC

DWM ASSET MANAGEMENT, LLC

DYNAMIC BETA INVESTMENTS LLC

EAGLE CAPITAL ADVISORS, LLC

EAGLE HEALTH INVESTMENTS LP

EAGLE POINT CREDIT MANAGEMENT LLC

EAGLE POINT DEFENSIVE INCOME MANAGEMENT LLC

EAGLE POINT ENHANCED INCOME MANAGEMENT LLC

EAGLE POINT INCOME MANAGEMENT LLC

EAST GUILFORD FINANCIAL SERVICES LLC

EASTERN ASSET MANAGEMENT LLC

EDGE PARTNERS CAPITAL LLC

EDGEWOOD CAPITAL ADVISORS, LLC

EDGEWOOD MANAGEMENT LLC

EDGEWORTH CAPITAL, INC.

EDUCATION GROWTH PARTNERS, LLC

ELLINGTON CREDIT COMPANY MANAGEMENT LLC