DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•••• S•••• C•••••• A•••••••• L••

CRD 142915

BOSTON, MA

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Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: May 15, 2015 to Mar 6, 2026
29 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $273M••• Locked
Discretionary RAUM: $183M
Private client RAUM: $266Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $90.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• G•••••• T•••••	n/a	BOSTON, MA	19	31	2	no
L••••• S•••••• T•••••	Chartered Financial Analyst	BOSTON, MA	17	30

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
X••••• P•••••••• L•	Hedge Fund	$18.9M	Jun 15, 2020	14	Mar 28, 2016	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••• L•••••• S••••••	Principal	C	yes	10/2008	May 15, 2015	Mar 6, 2024
T•••••• T•••••• G••••••	PRINCIPAL/CHIEF COMPLIANCE OFFICER	D	yes	12/2006	May 15, 2015	Mar 6, 2024

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	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
2025	$273M	$226M	20.6%	$181M	14.7%	3	3	1	0

Relationships

Registered with (3)

← C•••••• S••••••• A•••••••Advisorregistration: current employment
Sep 14, 2018 to presentfactForm ADV
← L••••• S•••••• T•••••Advisorregistration: current employment
Oct 28, 2008 to presentfactForm ADV
← T••••• G•••••• T•••••Advisorregistration: current employment
Feb 15, 2007 to presentfactForm ADV

Controls (2)

Dated events

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

Order

Occurred
6 Mar 2026
Ria office opened
••• Locked
Form ADV
Occurred
6 Mar 2026
Ria hq relocated
••• Locked
Form ADV
Occurred
6 Mar 2026
Ria ownership band change
••• Locked
Form ADV
Occurred
15 May 2015
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Mar 6, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 15, 2015
Last observed: Mar 6, 2026 6 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.