DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

F•• C••• I•••

CRD 108617

BOSTON, MA

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Search this name across graphsid dfx:ria:568fe80f-57a9-a8b7-864d-0936bd19f3a6

Data as of Nov 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 7
On other graphs: 0
Observed: Mar 28, 2012 to Nov 22, 2019
44 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: $919B••• Locked
Discretionary RAUM: $919B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,120
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• L• H••••••• L••	Other Private Fund	$11.0M	Dec 16, 2016	1	Mar 27, 2015	dropped	n/a
G••••••• C• H••••••• L••	Other Private Fund	$6.4M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• T••••••• M••••••	CO-HEAD EQUITY	Na	yes	03/2018	Mar 28, 2018	Nov 22, 2019
C•••••• J••••• C••••••	ELECTED M••••••	F	yes	02/1990	Mar 28, 2012	Nov 22, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• M••••••••• • R••••••• C••••••	n/a	ASSET_M••••••	$5685B	Y	yes	n/a
S•••••••• A••••••• L••	n/a	National bd RIA	$1370B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GREENWOOD VILLAGE	Co	United States	6	no
Smithfield	Ri	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$919B	$1115B	-17.6%	$1105B	-6.0%	1,120	1,316	2	3

Relationships

Affiliated with (18)

← F••••••• I••••••••• M•••• M••••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S•••••••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ F••••••• I••••••••• M•••• M••••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ F•• I••••••••• M••••••••• ••• L••••••Registered adviser

Dated events

Occurred
Nov 11, 2019
Control person left
Thomas Paul Hession (Chief Operating Officer) no longer on Schedule A of F•• C••• I••• (listed 2019-09-30, absent 2019-11-11)
Form ADVobserved 7 days ago
Occurred
Sep 30, 2019
Control person left
Delia Nancy Prior (Head Of High Income And Emerging Market Debt) no longer on Schedule A of F•• C••• I••• (listed 2019-07-12, absent 2019-09-30)
Form ADVobserved 7 days ago
Occurred
Sep 30, 2019
Control person joined
Jay Harley Lank (Head Of High Income) appeared on Schedule A of F•• C••• I•••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:568fe80f-57a9-a8b7-864d-0936bd19f3a6
First observed: Mar 28, 2012
Last observed: Nov 22, 2019 83 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.

Controls (15)

← F••••••• M••••••••• • R••••••• C••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← H••••••• P••• R••••••OwnerCO-HEAD EQUITY, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← C•••••• J••••• C••••••OwnerELECTED M••••••, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← Z••••••••• V••••• N••OwnerPRESIDENT GLOBAL ASSET ALLOCATION, ownership code NA, individual
Jan 4, 2019 to presentfactForm ADV
← J••••••• A••••••• P•••••••••OwnerELECTED M••••••, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← R••••••• J•••• J•••••OwnerELECTED M••••••, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← L•••• H•••••• J••OwnerHEAD OF HIGH INCOME, ownership code NA, individual
Sep 30, 2019 to presentfactForm ADV
← M•••••• G•••••• J•••OwnerELECTED M••••••, ownership code F, individual
Apr 26, 2016 to presentfactForm ADV
← R•••••• C••••••••• J•••OwnerHEAD OF ASSET MANAGEMENT FINANCE, TREASURER, ownership code NA, individual
Oct 29, 2018 to presentfactForm ADV
← J•••••• I•• E•••••• C•••••OwnerELECTED M••••••, ownership code F, individual
Apr 26, 2016 to presentfactForm ADV
← W•••••• M••••••• E•••••OwnerELECTED M••••••, ownership code F, individual
Apr 26, 2016 to presentfactForm ADV
← C••••• T••••••• M••••••OwnerCO-HEAD EQUITY, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← M••••••• K••••• M••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 17, 2018 to presentfactForm ADV
← N•••• S••••••• C••••••OwnerPRESIDENT, HEAD OF ASSET MANAGEMENT, ownership code NA, individual
Jan 4, 2019 to presentfactForm ADV
← F•• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV