DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

B••••• H••• A•••••••• L••

CRD 141306

NORTH ANDOVER, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06d3271f-02e8-53a3-692c-36488820e3c0

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 14
On other graphs: 0
Observed: Mar 9, 2012 to Mar 30, 2023
28 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: $988M••• Locked
Discretionary RAUM: $948M
Private client RAUM: $953Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• M••••••• F••••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	07/2006	Mar 9, 2012	Mar 30, 2023
T••••••• J•••••• J••••	MANAGING MEMBER	D	yes	04/2008	Mar 9, 2012	Mar 30, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NORTH ANDOVER	Ma	United States	4	no
Natick	Ma	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$988M	$1.0B	-1.4%	$773M	8.5%	20	14	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••••• I••••••••• M••••••••• C••••••• L••	2	Nov 2, 2023	Jan 18, 2012	NORTH ANDOVER, MA	Team lift out	RIA to RIA	18.2%
H•••••••• A•••••••• L••	9	Nov 2, 2023

Relationships

Controls (2)

← T••••••• J•••••• J••••OwnerMANAGING MEMBER, ownership code D, individual
Mar 9, 2012 to presentfactForm ADV
← E••••••• M••••••• F••••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 9, 2012 to presentfactForm ADV

Affiliated with (1)

← M•••••••• I••••••••• M••••••••• C••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Moved with (2)

Dated events

Occurred
Nov 2, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 2, 2023
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
9 advisors
Occurred
Nov 2, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 2, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06d3271f-02e8-53a3-692c-36488820e3c0
First observed: Mar 9, 2012
Last observed: Mar 30, 2023 42 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.