DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

J••• H•••••• V••••••• T•••• A••••••• L••

CRD 16009

BOSTON, 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:212140e5-a2ec-4491-6ef2-f31b8071251c

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 19
On other graphs: 0
Observed: Mar 30, 2012 to Mar 25, 2026
45 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=15.0
Regulatory AUM: $69B••• Locked
Discretionary RAUM: $69B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 192

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• K••••••• M••••	DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	05/2023	Jun 6, 2023	Nov 13, 2024
F••••••• P•••••• J•••••	Director	Na	yes	11/2020	Mar 30, 2021	Nov 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• I••••••••• M••••••••• ••• L••	n/a	Asset manager	$228B	N	yes	n/a
J••• H•••••• I••••••••• M••••••••• L••	n/a	Asset manager	$212B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$69B	$68B	1.5%	$60B	4.4%	192	194	0	0

Relationships

Affiliated with (10)

← M••••••• I••••••••• M••••••••• ••••• A••••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← J••• H•••••• P••••••• F•••••••• S•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ J••• H•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ M••••••• I••••••••• M••••••••• ••• L••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 25, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 25, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Nov 13, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:212140e5-a2ec-4491-6ef2-f31b8071251c
First observed: Mar 30, 2012
Last observed: Mar 25, 2026 6 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.

Controls (13)

← M••••••••• A•••••• J•••OwnerDIRECTOR, ownership code NA, individual
Jun 10, 2024 to Nov 13, 2024factForm ADV
← F•••••••• K••••••• M••••OwnerDIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jun 6, 2023 to Nov 13, 2024factForm ADV
← S•••••••• T•••••• E•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 4, 2020 to Nov 13, 2024factForm ADV
← S•••• B••••• A•••OwnerCHIEF LEGAL COUNSEL, ownership code NA, individual
Mar 30, 2015 to Nov 13, 2024factForm ADV
← N••••••••• J••••••• H•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 13, 2024 to Nov 13, 2024factForm ADV
← F••••••• P•••••• J•••••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2021 to Nov 13, 2024factForm ADV
← J••• H•••••• F•••••••• C•••••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 27, 2014 to Nov 13, 2024factForm ADV
← J••• H•••••• L••• I•••••••• C•••••• •••••••OwnerMEMBER, ownership code D, domestic entity
Mar 30, 2012 to Nov 13, 2024factForm ADV
← J••• H•••••• L••• I•••••••• C•••••• O• N•• Y•••OwnerMEMBER, ownership code C, domestic entity
Mar 30, 2012 to Nov 13, 2024factForm ADV
← M••••••• F•••••••• C•••••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to Nov 13, 2024factForm ADV
← M••••••• H••••••• •••••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to Nov 13, 2024factForm ADV
← T•• M••••••••• I••••••••• C•••••••••OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to Nov 13, 2024factForm ADV
← T•• M••••••••• L••• I•••••••• C•••••• •••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to Nov 13, 2024factForm ADV