DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

Z•••• A•••• M••••••••• L••

CRD 165269

BOSTON, MA

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Search this name across graphsid dfx:ria:9726ff7a-ad17-6464-ef04-f51cfa4d5518

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Aug 22, 2012 to Mar 26, 2026
31 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=0.58 fund_share=0.0 institutional_share=0.4 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $587Mderived••• Locked
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $255Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• A••••• D•••	Certified Financial Planner\|Chartered Financial Analyst	BOSTON, MA	9	17	n/a	no
J••• L••• L•	n/a	BOSTON, MA	6	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• S•••••• A•••••	CHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER, MEMBER BOARD OF MANAGERS	B	yes	11/2016	Mar 26, 2026	Mar 26, 2026
K•••••• J•••••••• L••••	CCO, COO, MEMBER BOARD OF MANAGERS	C	yes	01/2000	Mar 26, 2026	Mar 26, 2026

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	$1.0B	$893M	14.3%	$672M	15.0%	15	14	0	0

Relationships

Controls (3)

← D•••• S•••••• A•••••OwnerCHIEF INVESTMENT OFFICER, SENIOR PORTFOLIO MANAGER, MEMBER BOARD OF MANAGERS, ownership code B, individual
Mar 26, 2026 to presentfactForm ADV
← K••••• S••••• L••••••OwnerPRESIDENT, MEMBER BOARD OF MANAGERS, ownership code B, individual
Mar 26, 2026 to presentfactForm ADV
← K•••••• J•••••••• L••••OwnerCCO, COO, MEMBER BOARD OF MANAGERS, ownership code C, individual
Mar 26, 2026 to presentfactForm ADV

Owns (2)

← L•• J•••• L•••OwnerPORTFOLIO MANAGER, ownership code A, individual

Dated events

Occurred
Sep 3, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 22, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 22, 2012
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9726ff7a-ad17-6464-ef04-f51cfa4d5518
First observed: Aug 22, 2012
Last observed: Mar 26, 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.