DFX Intelligence

M••••• A•••••••• 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

M••••• A•••••••• L••

CRD 144644

NEEDHAM, MA

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Search this name across graphsid dfx:ria:9d049c7a-5710-538f-3344-f5908022a711

Data as of Mar 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Mar 23, 2022
20 observations

Across DFX

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

Private Equityidentity

M••••• A•••••••• L••

Private equity manager · key crd, key sfn adviser, 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: $147M••• Locked
Discretionary RAUM: $83.9M
Private client RAUM: $48.1Mderived••• Locked
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• A••••••• 2•••• L•••	Private Equity Fund	$52.8M	Oct 15, 2020	10	Mar 28, 2012	dropped	021-175231
M••••• A••••••• 2••• C••••••••• F•••• L•••	Private Equity Fund	$44.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• E•••• W••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	B	yes	06/2007	Mar 28, 2012	Mar 23, 2022
W••••• C••••••••• P•••	MANAGING MEMBER	E	yes	06/2007	Mar 28, 2012	Mar 23, 2022

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WEST PALM BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$147M	$150M	-1.9%	$95.7M	15.4%	5	5	1	1

Relationships

Advises (4)

→ M••••• A••••••• 2••• C••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ M••••• A••••••• 2••• C••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ M••••• A••••••• 2•••• L•••Private fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Oct 15, 2020factForm ADV
→ M••••• A••••••• 2•••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d049c7a-5710-538f-3344-f5908022a711
First observed: Mar 28, 2012
Last observed: Mar 23, 2022 54 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.