DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

M•• F•••••••• S•••••••• I•••

CRD 14251

SPRINGFIELD, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jan 3, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3,985
Dated events: 0
On other graphs: 1
Observed: Mar 26, 2012 to Jan 3, 2017
49 observations

Across DFX

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

Venture Capitalidentity

M•••••• S••••••••• I•••

Venture manager · key_crd, 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: $14B••• Locked
Discretionary RAUM: $3.7B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8,508

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• T••••• K•	VICE PRESIDENT	Na	yes	07/2016	Jul 28, 2016	Jan 3, 2017
B•••••• W•••• A••	CHIEF EXECUTIVE OFFICER AND DIRECTOR	Na	yes	07/2016	Jul 28, 2016	Jan 3, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• L••	n/a	Institutional manager	$393B	N	yes	n/a
B•••••• R••• E••••• A••••••• L••	n/a	Former SEC adviser	$33B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Shelton	Ct	United States	n/a	no
FT LAUDERDALE	FL	United States	n/a	no
Boston	Ma	United States	n/a	no
Iselin	Nj	United States	n/a	no
NEWTOWN S•••••	Pa	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Dec 1, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$14B	$8.3B	65.4%	$5.7B	34.2%	8,508	6,588	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••	22	Mar 25, 2017	Jan 30, 2017	BOSTON, MA	Team lift out	Other	1.2%
M••••••	2	Mar 25, 2017	Aug 24, 2016

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••	3	Jan 31, 2020	Jan 2, 2015	OVERLAND PARK,, KS	Team lift out	Other	33.3%
I•• P••••••• S••••••••• L••	3	Oct 21, 2019	Jan 2, 2015

Relationships

showing 80 of 3,985

Affiliated with (9)

→ O••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ B•••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ C••••••••• R••• E••••• A••••••• L••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ M••••• F•••••••• A••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 26, 2012
Last observed: Jan 3, 2017 118 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.

All 14 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• M••••• L••• I•••••••• C••••••	DIRECT OWNER	E	yes	07/2016	Jul 18, 2016	Jan 3, 2017
M•••• D•••• M••••	VICE PRESIDENT	Na	yes	07/2016	Sep 19, 2014	Jan 3, 2017
V••••••• J••• A•••••	CHAIRMAN AND DIRECTOR	Na	yes	07/2016	Jul 28, 2016	Jan 3, 2017
W••••••••• M••• B••	VICE PRESIDENT	Na	yes	07/2016	Apr 18, 2016	Jan 3, 2017

All 16 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• I•••••••• A••••• L••	n/a	n/a	n/a	N	yes	n/a
M•• I••••••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
M•• S•••••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
M••••• F•••••••• A••••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a
O••••••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
S•••••• O• G•••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a

All 20 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	2	Feb 21, 2017	Feb 15, 2017	OAK BROOK, IL	Team lift out	Other	0.1%
C••••••••• F•••••••• N••••••	2	Feb 21, 2017	Mar 18, 2017	M••••••VILLE, IN	Team lift out	Other	0.1%
H•••••• T••••••• • K•••• L••	3	Feb 6, 2017	Apr 25, 2017	CAMP HILL, PA	Team lift out	Other	0.2%
C••••••••• F•••••••• N••••••	2	Dec 14, 2016	Dec 9, 2016	CHICAGO, IL	Team lift out	Other	0.1%
O•••• F•• I•••	2	Dec 2, 2016	Dec 12, 2016	FOSTER CITY, CA	Team lift out	Other	0.1%
S•••••••• F••••••••• I•••	4	Nov 18, 2016	Nov 22, 2016	FORT LAUDERDALE, FL	Team lift out	Other	0.2%
O••• W••••• M••••••••• G••••	2	Nov 10, 2016	Dec 13, 2016	ORLAND PARK, IL	Team lift out	Other	0.1%
A••••••••• F•••••••• S•••••••• L••	2	Sep 14, 2016	Sep 12, 2016	JACKSONVILLE, FL	Team lift out	Other	0.1%
A••••••••• F•••••••• S•••••••• L••	2	Sep 12, 2016	Sep 2, 2016	GREENWOOD VILLAGE, CO	Team lift out	Other	0.1%
C••••••••• F•••••••• N••••••	6	Aug 31, 2016	Aug 26, 2016	BEAVER FALLS, PA	Team lift out	Other	0.3%

All 16 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V•••• F•••••••• A•••••••• I•••	2	Jan 4, 2016	Jan 25, 2016	BIRMINGHAM, AL	Team lift out	Other	0.2%
J••• M••••• S••••••••• L••	2	Oct 29, 2015	Nov 6, 2015	MIDLAND PARK, NJ	Team lift out	Other	0.1%
L•• F•••••••• L••	2	Jul 7, 2015	Jul 14, 2015	DETROIT, MI	Team lift out	Other	0.0%
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	2	Jul 6, 2015	Dec 3, 2015	WEST HARTFORD, CT	Team lift out	Other	0.0%
N••••••••• M••••• I••••••••• S•••••••••	2	Feb 12, 2015	Feb 20, 2015	BOSTON, MA	Team lift out	Other	0.1%
A••••••• P••••••••• A•••••••• I••	2	Jan 29, 2015	Jan 30, 2015	HOLBROOK, NY	Team lift out	Other	0.7%