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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

D••••••• F••••• I••••••••• M••••••••• L••

CRD 153808

BOSTON, MA

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Search this name across graphsid dfx:ria:a6405040-f273-2e1f-4ff8-c5009ecea605

Data as of Jul 14, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jul 14, 2016
17 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: $26.8MItem 5.F on the latest filing (2016-07-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $26.3M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• F••••• G•••• I•••	SOLE MEMBER	E	yes	04/2010	Mar 30, 2012	Jul 14, 2016
F•••••• P••••• D•••••	HAS PROXY TO VOTE MORE THAN 25% OF DFG STOCK.	C	yes	05/2006	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$26.8M	$155M	-82.7%	$174M	-46.4%	4	15	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•• F••••• W••••• A•••••••• L••	3	Jul 1, 2015	Jun 16, 2015	BOSTON, MA	Firm absorbed	Other	60.0%

Relationships

Controls (3)

← F•••••• P••••• D•••••OwnerHAS PROXY TO VOTE MORE THAN 25% OF DFG STOCK., ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← M••••••• S••••••• D••••••OwnerDIRECTOR/CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 9, 2015 to presentfactForm ADV
← D••••••• F••••• G•••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Registered with (7)

← MARK ADAM SCHIFFENHAUS

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6405040-f273-2e1f-4ff8-c5009ecea605
First observed: Mar 30, 2012
Last observed: Jul 14, 2016 124 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.