DFX Intelligence

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

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

A••••••••• F•••••••• S•••••••

A•••••••••, J•••• S••••••, CRD 130004

LEXINGTON, MA

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Search this name across graphsid dfx:ria:aaa58492-0745-f4e4-6b55-476d1ae07b5e

Data as of Mar 15, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Mar 15, 2022
14 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: $210M••• Locked
Discretionary RAUM: $204M
Private client RAUM: $122Mderived••• Locked
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• J••••• S••••••	SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER	E	yes	04/1994	Mar 27, 2012	Mar 15, 2022

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	$210M	$182M	15.1%	$143M	13.5%	3	3	0	0

Relationships

Controls (1)

← A••••••••• J••••• S••••••OwnerSOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Dated events

Occurred
Jun 5, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aaa58492-0745-f4e4-6b55-476d1ae07b5e
First observed: Mar 27, 2012
Last observed: Mar 15, 2022 55 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.