DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

T•• F•••••••• A•••••••• L••

CRD 146680

ANDOVER, MA

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Data as of Dec 1, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 9
On other graphs: 0
Observed: Mar 29, 2012 to Dec 1, 2025
37 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: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• M••••••• P••••	MANAGING MEMBER AND FINANCIAL ADVISOR	C	yes	01/2008	Mar 29, 2012	Oct 22, 2024
M•••••• R•••••• C••••••	MEMBER, CHIEF COMPLIANCE OFFICER, FINANCIAL ADVISOR	C	yes	01/2008	Mar 29, 2012	Oct 22, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Newburyport	Ma	United States	2	no
n/a	n/a	n/a	1	no

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	7	-7	n/a	0	0	0	0	7

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.1B	$981M	13.0%	$975M	4.4%	11	13	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••• P••••• A•••••••• L••	6	Mar 12, 2026	Feb 8, 2026	ANDOVER, MA	Firm absorbed	RIA to RIA	85.7%

Relationships

Registered with (8)

← R••••• C•••••• M•••••Advisorregistration: previous registration
Jul 10, 2008 to Mar 12, 2026factForm ADV
← M•••••• P•••• K••••Advisorregistration: previous registration
Jul 10, 2008 to Mar 12, 2026factForm ADV
← L•••• C••• B•••••••Advisorregistration: previous registration
Jul 10, 2008 to Mar 12, 2026factForm ADV
← A••• V• L•••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
12 Mar 2026
Advisor changed firm7 events
T•• F•••••••• A•••••••• L••: advisor changed firm, 7 counterparties, on 12 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
12 Mar 2026
Firm absorbed
••• Locked
Form ADV
6 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Dec 1, 2025 9 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 26, 2015	$396M	$0	7	7	n/a	n/a	n/a
2013	Mar 27, 2014	$378M	$0	8	7	n/a	n/a	n/a
2012	Mar 27, 2013	$303M	$0	6	6	n/a	n/a	n/a
2011	Mar 29, 2012	$252M	$0	n/a	n/a	n/a	n/a	n/a