DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••••• C•••••• M••••••••• L•••

CRD 160580

BOSTON, MA

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Search this name across graphsid dfx:ria:5760821b-c5f2-97f6-120a-42c8b8186d75

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 12
On other graphs: 0
Observed: Feb 14, 2012 to Sep 16, 2026
40 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=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $937M••• Locked
Discretionary RAUM: $937M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• C•••••• P••••••• I•• L•••	Hedge Fund	$369M	Sep 16, 2026	12	Feb 14, 2012	reported	021-65360
S••••• O••••••• F•••• L•••	Hedge Fund	$250M	Sep 16, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J•••• F••••••	L•••••• P•••••• A•• M••••••• D••••••• O• S••••• C•••••• M••••••••• L•••	E	yes	06/1999	Feb 14, 2012	Mar 28, 2024
B••••••• J•••• F••••••	S••• M••••• O• S••••• A••••••••• L•••••• T•• G•••••• P•••••• O• S••••• C•••••• M••••••••• L•••	E	yes	06/1999	Feb 14, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• C••••••• L•••••	n/a	n/a	n/a	N	yes	n/a
S••••• F••••• L•••••	n/a	n/a	n/a	N	yes	n/a
S••••• T•••••• L•••••	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$937M	$892M	5.0%	$894M	1.6%	15	15	0	0

Relationships

Advises (7)

→ S••••• F•••• P•••••••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• O••••••• F•••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• C•••••• P••••••• I•• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• C•••••• P•••••••• L•••Private fund

Dated events

Occurred
Sep 16, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$151M
Occurred
Sep 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 16, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5760821b-c5f2-97f6-120a-42c8b8186d75
First observed: Feb 14, 2012
Last observed: Sep 16, 2026 7 days 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.