DFX Intelligence

A•••• P•••••• G••••• 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

A•••• P•••••• G••••• I•••

CRD 171290

BOSTON, MA

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Search this name across graphsid dfx:ria:7c61e687-2c2f-ad00-42c5-95f8925b81ab

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 1
Observed: Oct 6, 2014 to Mar 30, 2021
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

A•••• P•••••• G••••• I•••

Investment consultant · shared crd

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: $7.5M••• Locked
Discretionary RAUM: $7.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• R••••••• J•••	President	D	yes	05/2014	Oct 6, 2014	Mar 30, 2021
H••••• T••••• D•••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Dec 6, 2017	Mar 30, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 19, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$7.5M	$5.6M	34.6%	n/a	n/a	22	21	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• R••••••••• P••••••• L••	6	Mar 30, 2021	Mar 14, 2021	BOSTON, MA	Firm absorbed	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••• S••••••••• L••	4	Jul 12, 2016	May 16, 2016	LEXINGTON, MA	Team lift out	Other	0.4%

Relationships

Controls (6)

← C••••••••• R••••••• J•••OwnerPRESIDENT, ownership code D, individual
Oct 6, 2014 to presentfactForm ADV
← M••••• R•••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Oct 18, 2018 to presentfactForm ADV
← S•••••••• M•••• P•••OwnerVICE PRESIDENT, ownership code C, individual
Oct 6, 2014 to presentfactForm ADV
← H••••• T••••• D•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 6, 2017 to presentfact

Dated events

Occurred
Oct 6, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c61e687-2c2f-ad00-42c5-95f8925b81ab
First observed: Oct 6, 2014
Last observed: Mar 30, 2021 66 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.