DFX Intelligence

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

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

M•••••••• I••••••••• M••••••••• C••••••• L••

CRD 111631

NORTH ANDOVER, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8362b510-18ba-bb90-954a-f3284cdbcdf1

Data as of Dec 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 6
On other graphs: 0
Observed: Mar 14, 2012 to Dec 17, 2020
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: $3.6M••• Locked
Discretionary RAUM: $3.6M
Private client RAUM: $3.6Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• H••• A•••••••• L••	MANAGING MEMBER	D	yes	04/2008	Mar 14, 2012	Dec 17, 2020
E••••••• M••••••• F••••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	07/2006	Mar 14, 2012	Dec 17, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• H••• A•••••••• L••	n/a	Former SEC adviser	$988M	Y	yes	n/a

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
2019

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	$3.6M	$396M	-99.1%	$389M	-79.1%	3	3	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	2	Nov 28, 2022	Aug 1, 2023	NORTH ANDOVER, MA	Team lift out	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••• H••• A•••••••• L••	2	Nov 2, 2023	Jan 18, 2012	NORTH ANDOVER, MA	Team lift out	RIA to RIA	18.2%

Relationships

Affiliated with (1)

→ B••••• H••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← B••••• H••• A•••••••• L••OwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 14, 2012 to presentfactForm ADV
← T••••••• J•••••• J••••OwnerMANAGING MEMBER, ownership code D, individual
Mar 14, 2012 to presentfactForm ADV
← S•••••• J••••••• D••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code C, individual

Dated events

Occurred
Nov 2, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 28, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 28, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8362b510-18ba-bb90-954a-f3284cdbcdf1
First observed: Mar 14, 2012
Last observed: Dec 17, 2020 70 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.