DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

E••••••••• L••

CRD 153615

BOSTON, MA

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Search this name across graphsid dfx:ria:3e4b6ade-8ac4-81f0-1492-4837359e535a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2012 to Mar 31, 2026
23 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=0.08 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $50.4M••• Locked
Discretionary RAUM: $50.4M
Private client RAUM: $4.1Mderived••• Locked
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $50.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• M••• S••••••	Chartered Financial Analyst	BOSTON, MA	8	42	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F• C•••••• P••••••• L••	Hedge Fund	$15.8M	Sep 3, 2013	1	Mar 29, 2012	dropped	n/a
F• C•••••• E••••••••• L••	Hedge Fund	$14.5M	Sep 3, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• E••	CHIEF OPERATING OFFICER	Na	no	04/2020	Mar 31, 2021	Mar 27, 2024
P••••••••• M••••• R••••	CHIEF COMPLIANCE OFFICER	Na	no	06/2019	Jun 10, 2019	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• I••••• A•••••••• L••	n/a	Asset manager	$1.5B	Y	yes	n/a
S•••••• G••••• A•••••••• L••	n/a	Asset manager	$46.3M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$50.4M	$45.2M	11.3%	$43.0M	5.4%	5	5	0	0

Relationships

Affiliated with (4)

→ S•••••• G••••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•••••• I••••• A•••••••Registered adviserother investment adviser, control, common control
factForm ADV
← S•••••• G••••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← C•••••• I••••• A•••••••Registered adviser

Dated events

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

Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e4b6ade-8ac4-81f0-1492-4837359e535a
First observed: Mar 29, 2012
Last observed: Mar 31, 2026 5 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.