DFX Intelligence

D•••• M•••••• K••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D•••• M•••••• K••

CRD 107215

MARION, MA

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Search this name across graphsid dfx:ria:4f4950c4-2e41-7e74-7e19-eb2c90371285

Data as of Apr 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Apr 1, 2014
3 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: $119M••• Locked
Discretionary RAUM: $119M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• M••••••	SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER	E	yes	01/1985	Mar 15, 2012	Apr 1, 2014

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Apr 1, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$119M	$101M	17.1%	n/a	n/a	1	1	n/a	n/a

Relationships

Controls (1)

← D••••• M••••••OwnerSOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 15, 2012 to presentfactForm ADV

Registered with (1)

← M•••••• K•• D••••Advisorregistration: previous registration
Jan 18, 2005 to Mar 18, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f4950c4-2e41-7e74-7e19-eb2c90371285
First observed: Mar 15, 2012
Last observed: Apr 1, 2014 151 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.