DFX Intelligence

O•• C•••••• P•••••• W•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

O•• C•••••• P•••••• W•••••• L••

CRD 281121

HINGHAM, MA

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Data as of Nov 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 15, 2015 to Nov 7, 2016
12 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: $204M••• Locked
Discretionary RAUM: $196M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• P•••••• A•••	CHIEF OPERATING OFFICER, CLIENT SERVICES	Na	yes	11/2015	Nov 7, 2016	Nov 7, 2016
G•••••• G•••••••• A••••	CHIEF OPERATING OFFICER, BUSI•••S OPERATIONS	Na	yes	11/2015	Nov 7, 2016	Nov 7, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•• C•••••• I•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 18, 2016	$102M	$98.7M	9	5	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$204M	n/a	n/a	n/a	n/a	7	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•• C•••••• P•••••• W•••••	2	Mar 31, 2017	May 8, 2017	HINGHAM, MA	Channel change	Other	66.7%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	3	Nov 16, 2015	Nov 24, 2015	HYANNIS, MA	Team lift out	Wirehouse to new firm	0.0%

Relationships

Controls (4)

← S•••••••• P•••• A•••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER/FOUNDING PARTNER, ownership code E, individual
Nov 13, 2015 to presentfactForm ADV
← W•••••• E•••• R••••••OwnerMANAGING PARTNER, ownership code NA, individual
Nov 7, 2016 to presentfactForm ADV
← G•••••• G•••••••• A••••OwnerCHIEF OPERATING OFFICER, BUSI•••S OPERATIONS, ownership code NA, individual
Nov 7, 2016 to presentfactForm ADV
← D••••••••• P•••••• A•••OwnerCHIEF OPERATING OFFICER, CLIENT SERVICES, ownership code NA, individual

Dated events

Order

Occurred
15 Sep 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 15, 2015
Last observed: Nov 7, 2016 120 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.