DFX Intelligence

L•••••• W•••••• • C••••••• F•••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

L•••••• W•••••• • C••••••• F•••••••• A•••••••• L••

CRD 107153

BOSTON, MA

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Search this name across graphsid dfx:ria:498155d6-f97f-caf4-49ec-9a59f899501a

Data as of Jul 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 12
On other graphs: 0
Observed: Mar 28, 2012 to Jul 23, 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: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $13B
Private client RAUM: $12Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $1.3Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• D•••• B•••	Chartered Financial Analyst	BOSTON, MA	24	24	n/a	no
G•••••• M••••• R••••	Chartered Financial Analyst	BOSTON, MA	24	41	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• T•••••• R••••••	GENERAL PARTNER	A	yes	01/2007	Jul 23, 2026	Jul 23, 2026
B•••• C••••••••• D••••	GENERAL PARTNER	A	yes	06/2002	Jul 23, 2026	Jul 23, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• I••••• I••••••••• L••	n/a	Asset manager	$2.4B	Y	yes	n/a
L•••••• W•••••• • C••••••• T••••• L••	n/a	n/a	n/a	Y	yes	Ma

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	$13B	$13B	-0.6%	$9.7B	9.8%	109	103	0	0

Relationships

Affiliated with (2)

→ D••••• I••••• I••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← D••••• I••••• I••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (15)

← C••••• R••••• D••••OwnerGENERAL PARTNER, ownership code A, individual
Jul 23, 2026 to presentfactForm ADV
← B•••• C••••••••• D••••Owner

Dated events

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

Occurred
Oct 21, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 21, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 23, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:498155d6-f97f-caf4-49ec-9a59f899501a
First observed: Mar 28, 2012
Last observed: Jul 23, 2026 2 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.