DFX Intelligence

S••••••• K••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S••••••• K••••• L••

CRD 128244

BOSTON, MA

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Search this name across graphsid dfx:ria:a16324a6-9e5f-5efb-7f5a-f5f29454ce50

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 6
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2026
28 observations

Across DFX

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

Private Equityidentity

S••••••• K••••• L••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $862M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 18
RAUM per advisor: $564Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• A•••••• H•••••••	n/a	Boston, MA \| BOSTON, MA	18	19	n/a	no
C••••••••• M•••••• C•••	Certified Financial Planner	BOSTON, MA	16	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• P••••• J•••	CHIEF OPERATING OFFICER, MEMBER, NON-VOTING SHARES	Na	yes	01/2016	Aug 7, 2017	Mar 28, 2024
D••••• B•••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• K••••• K••••••• L••	n/a	Other adviser	$11B	Y	no	n/a
P••• C•••••• M••••••••• L••	n/a	Independent wealth	$165M	N	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	1	0	5.6%	0	0	0	2	1

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	$10B	$9.4B	8.1%	$7.6B	10.0%	42	46	0	0

Relationships

Registered with (34)

← V••••••• R•••••Advisorregistration: current employment
Jun 15, 2026 to presentfactForm ADV
← M•••••• J••• D•••••••Advisorregistration: current employment
May 7, 2025 to presentfactForm ADV
← J••• H•••• G•••••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← J••• J••••• B••••

Dated events

Occurred
Mar 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 12, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a16324a6-9e5f-5efb-7f5a-f5f29454ce50
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 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.