DFX Intelligence
Reading the graph
Reading the graph
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.
CRD 290008
SOUTHBOROUGH, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••• R• F•••••• | n/a | SOUTHBOROUGH, MA | Naples, FL | 8 | 21 | 3 | yes |
| S•••• M•••••• M•••• | n/a | SOUTHBOROUGH, MA | 8 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F•••••• C••••••••• R••••• | MANAGING PARNTER | D | yes | 10/2017 | Mar 30, 2022 | Mar 20, 2024 |
| M••••• S••••• M•••••• | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | D | yes | 08/2017 | Sep 6, 2017 | Mar 20, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $372M | $319M | 16.7% | $220M | 19.1% | 9 | 8 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 2 | Oct 10, 2017 | Oct 6, 2017 | BOSTON, MA | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| C••••••••• R••••• F••••• | Chartered Financial Analyst | SOUTHBOROUGH, MA | 8 | 12 | n/a | no |
| A••• P••••• R••••• | Chartered Financial Analyst | SOUTHBOROUGH, MA | 4 | 12 | n/a | no |
| A••• S•••• C••••• | Chartered Financial Analyst | SOUTHBOROUGH, MA | 1 | 31 | 4 | no |
| $372M |
| $372M |
| 9 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 13, 2025 | $319M | $319M | 8 | 5 | 1 | n/a | n/a |
| 2023 | Mar 19, 2024 | $283M | $283M | 7 | 4 | 1 | n/a | n/a |
| 2022 | Mar 29, 2023 | $220M | $220M | 7 | 4 | 0 | n/a | n/a |
| 2021 | Mar 30, 2022 | $216M | $216M | 7 | 4 | 0 | n/a | n/a |
| 2020 | Mar 8, 2021 | $182M | $182M | 5 | 3 | 0 | n/a | n/a |
| 2019 | Mar 20, 2020 | $180M | $180M | 5 | 3 | 0 | n/a | n/a |
| 2018 | Mar 23, 2019 | $172M | $172M | 5 | 3 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $116M | $116M | 4 | 4 | 0 | n/a | n/a |