DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

M••••• H••••• I••••••••• C••••••• L••

CRD 138538

BOSTON, MA

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Search this name across graphsid dfx:ria:9c7ee1a1-33c9-25bc-1e71-dd85d899c712

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 2
Observed: Dec 15, 2011 to Mar 25, 2026
34 observations

Across DFX

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

Private Equityidentity

M••••• H••••• I••••••••• C••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

M••••• H••••• I••••••••• C••••••• L••

Capital provider to sponsors · shared crd

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=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $330Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• R••••• D••••	Chartered Financial Analyst\|Chartered Investment C••••••or	BOSTON, MA	20	20	n/a	no
L••••••• J••••• H•••••••••	n/a	BOSTON, MA	20	33

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••• F••• S••••• P•••••••• L••	Private Equity Fund	$1.9M	Mar 25, 2026	52	Mar 29, 2012	reported	021-120851
M••• D••••••• P•••••••• L••	Private Equity Fund	$1.4M	Mar 25, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• P•••• R•••••	MANAGING MEMBER AND CHIEF INVESTMENT OFFICER	D	yes	12/2005	Mar 25, 2026	Mar 25, 2026
C••••••• S••••••• C••••••	Member	Na	no	01/2007	Mar 25, 2026	Mar 25, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• V•••••• M••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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
1	0	1	0.0%	0	0	0	1	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	$1.3B	$1.3B	3.4%	$1.0B	9.3%	10	10	0	0

Relationships

Advises (5)

→ M••• F••• S••••• P•••••••• L••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ M••• D••••••• P•••••••• L••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ M••• V••••••• I• L••Private fundPrivate Equity Fund, IA, no longer reported
Mar 29, 2012 to Mar 28, 2024factForm ADV
→ M••• G••••• P•••••••• L••

Dated events

Occurred
Mar 25, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
0 USD_GAV
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$143M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c7ee1a1-33c9-25bc-1e71-dd85d899c712
First observed: Dec 15, 2011
Last observed: Mar 25, 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.