DFX Intelligence

T••••• W••••• M••••••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

T••••• W••••• M••••••••• P•••••••

T••••• W••••• M••••••••• P••••••• LLC, CRD 170457

BOSTON, MA

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Search this name across graphsid dfx:ria:6c2312c0-bf9d-b998-0f40-48c009ee1505

Data as of Feb 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Feb 3, 2014 to Feb 4, 2022
20 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: $347M••• Locked
Discretionary RAUM: $347M
Private client RAUM: $239Mderived••• Locked
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• J•••••• D•••••	Partner	C	yes	06/2014	Jan 23, 2015	Feb 4, 2022
N••••••••• K•••• J••••	Partner	B	yes	01/2019	Jul 23, 2019	Feb 4, 2022

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
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
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$347M	$306M	13.3%	$231M	14.5%	5	5	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••	2	Oct 3, 2022	Jul 1, 2022	CAMBRIDGE, MA	Team lift out	RIA to ibd	100.0%

Relationships

Controls (3)

← T•••••• H•••• R••••••OwnerMANAGING PARTNER AND CCO, ownership code C, individual
Feb 3, 2014 to presentfactForm ADV
← N••••••••• K•••• J••••OwnerPARTNER, ownership code B, individual
Jul 23, 2019 to presentfactForm ADV
← G••••••• J•••••• D•••••OwnerPARTNER, ownership code C, individual
Jan 23, 2015 to presentfactForm ADV

Registered with (4)

← H••• R•••••• T•••••Advisorregistration: previous registration

Dated events

Occurred
Oct 3, 2022
Team lift-out
2 advisors left T••••• W••••• M••••••••• P••••••• (Cambridge, MA) for Mariner on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Oct 3, 2022
Advisor changed firm
Kyle James Neidhardt left T••••• W••••• M••••••••• P••••••• for Mariner (registered 2022-07-01)
Form ADVobserved 7 days ago
Occurred
Oct 3, 2022
Advisor changed firm
Hugh Russell Taylor left T••••• W••••• M••••••••• P••••••• for Mariner (registered 2022-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c2312c0-bf9d-b998-0f40-48c009ee1505
First observed: Feb 3, 2014
Last observed: Feb 4, 2022 56 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.