DFX Intelligence

N••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N••••••• L••

CRD 164466

BOSTON, MA

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Search this name across graphsid dfx:ria:004495b3-a6ac-308c-b590-7e3c47ba8149

Data as of Oct 3, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 1
On other graphs: 0
Observed: Jun 14, 2012 to Oct 3, 2013
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $129,753••• Locked
Discretionary RAUM: $129,753
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• K•••••• K•	CHIEF ADMINISTRATIVE OFFICER	Na	yes	04/2012	Jun 14, 2012	Oct 3, 2013
L•• F•••••••• H••••••• I•••	PARENT COMPANY	E	yes	12/2005	Jul 20, 2012	Oct 3, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• F•••••••• L••	n/a	Bd affiliated wealth	$819B	N	yes	Ma
F••••••••• L••	n/a	Former SEC adviser	$3.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013	$129,753	$129,753	37	36	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$129,753	n/a	n/a	n/a	n/a	37	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ I••••••••• A••••••• G•••• C•••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•• F•••••••• L••Registered adviserother investment adviser, broker-dealer, trust company, LP sponsor, custodian, common control
factForm ADV
← C•••••• E••••• G•••• A•••••••• L••Registered adviser

Dated events

Occurred
Jun 14, 2012
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:004495b3-a6ac-308c-b590-7e3c47ba8149
First observed: Jun 14, 2012
Last observed: Oct 3, 2013 157 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.