DFX Intelligence

T•• D••••••• A••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

T•• D••••••• A••••••••• I••

CRD 107781

WELLESLEY, MA

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Search this name across graphsid dfx:ria:32f99a76-999e-7393-4695-7f559e5065db

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2012 to Apr 17, 2012
2 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: $74.1M••• Locked
Discretionary RAUM: $74.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 369
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• P••••• D•••••	PRESIDENT, TREASURER, AND CHIEF COMPLIANCE OFFICER	E	yes	08/2009	Mar 5, 2012	Apr 17, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 5, 2012	$74.1M	$74.1M	n/a	n/a	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
2011	$74.1M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← A•••••• P••••• D•••••OwnerPRESIDENT, TREASURER, AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 5, 2012 to presentfactForm ADV

Registered with (3)

← GEORGE THOMAS PADULAAdvisorregistration: previous registration
Aug 29, 1998 to Jul 8, 2008factForm ADV
← ANNE B. PUTNAMAdvisorregistration: previous registration
Mar 15, 2005 to Jun 13, 2006factForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32f99a76-999e-7393-4695-7f559e5065db
First observed: Mar 5, 2012
Last observed: Apr 17, 2012 175 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.