DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

H••••••• F•••••••• N••••••• I•••

CRD 128532

CONCORD, MA

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Search this name across graphsid dfx:ria:61a84058-4c95-9e9b-8cf4-fab67971c80d

Data as of Jun 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2011 to Jun 14, 2012
4 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: $55.0M••• Locked
Discretionary RAUM: $38.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $27.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• R••••• L•••••	Certified Financial Planner	CONCORD, MA	32	40	n/a	no
J•••• D••••• L•••••	n/a	CONCORD, MA	32	44

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• C••••••• R•••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	04/2008	Nov 29, 2011	Jun 14, 2012
L•••••• J••••• D•••••	Consultant	Na	yes	05/1989	Nov 29, 2011	Jun 14, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 22, 2012	$55.0M	$38.0M	n/a	n/a	n/a	n/a	n/a

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
2011	$55.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← L•••••• C••••••• R•••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 29, 2011 to presentfactForm ADV
← L•••••• J••••• D•••••OwnerCONSULTANT, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV

Registered with (2)

← C•••••• R••••• L•••••Advisorregistration: current employment
Apr 14, 1994 to presentfactForm ADV
← J•••• D••••• L•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61a84058-4c95-9e9b-8cf4-fab67971c80d
First observed: Nov 29, 2011
Last observed: Jun 14, 2012 173 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.