DFX Intelligence

C••• P•••• P•••••••• 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

C••• P•••• P•••••••• L••

CRD 141836

BOSTON, MA

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Search this name across graphsid dfx:ria:0f910796-bd14-1902-14f0-1c0a4ae74d12

Data as of Apr 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2012 to Apr 1, 2020
29 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: $274M••• Locked
Discretionary RAUM: $274M
Private client RAUM: $33.0Mderived••• Locked
Private client share: 12%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••• P•••• P•••••••• P••••••••• S••••••••• L• P•	Liquidity Fund	$54.2M	Apr 12, 2018	1	Mar 28, 2018	dropped	n/a
C••• P•••• L•• P••••••••• L•••	Hedge Fund	$13.5M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• P••••• J••••	MANAGING MEMBER, MANAGING DIRECTOR & ASSISTANT COMPLIANCE OFFICER	C	yes	08/2006	Jan 17, 2012	Apr 1, 2020
O••••••• T••••••• P•••	MANAGING MEMBER & MANAGING DIRECTOR	C	yes	08/2006	Jan 17, 2012	Apr 1, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$274M	$921M	-70.3%	$807M	-30.3%	4	5	0	1

Relationships

Advises (4)

→ C••• P•••• E••••• O••••••••• F••• L•••••• P•••••••••Private fundOther Private Fund, IA
Jan 31, 2020 to presentfactForm ADV
→ C••• P•••• P•••••••• P••••••••• S••••••••• L• P•Private fundLiquidity Fund, IA, no longer reported
Mar 28, 2018 to Apr 12, 2018factForm ADV
→ C••• P•••• L•• P•••••••• I•• L•••Private fundHedge Fund, IA, no longer reported
Oct 17, 2016 to Oct 17, 2016factForm ADV
→ C••• P•••• L•• P••••••••• L•••

Dated events

Occurred
Jan 31, 2020
Regulatory AUM changed
C••• P•••• P•••••••• L•• reported RAUM $273.6M, down 70% from $920.9M (2019-11-05 to 2020-01-31)
Form ADVobserved 7 days ago
$-647M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f910796-bd14-1902-14f0-1c0a4ae74d12
First observed: Jan 17, 2012
Last observed: Apr 1, 2020 78 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.