DFX Intelligence

V•• G••••• 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

V•• G••••• A••••••• L••

CRD 171399

BROOKLINE, MA

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Search this name across graphsid dfx:ria:b787293b-f832-9c5f-217e-1607091c544d

Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 11, 2016 to Jun 30, 2020
8 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: $436M••• Locked
Discretionary RAUM: $206M
Private client RAUM: $388Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• K•••••••• R•••••	FOUNDER, CEO	E	yes	03/2013	Feb 11, 2016	Jun 30, 2020
S••••••••• H•••••• A•••	CHIEF COMPLIANCE OFFICER	Na	no	01/2017	Mar 27, 2017	Jun 30, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$436M	$336M	29.7%	$327M	10.0%	5	5	0	0

Relationships

Controls (1)

← C•••••• K•••••••• R•••••OwnerFOUNDER, CEO, ownership code E, individual
Feb 11, 2016 to presentfactForm ADV

Owns (1)

← S••••••••• H•••••• A•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2017 to presentfactForm ADV

Registered with (3)

← H••••• A••• S••••••••Advisorregistration: previous registration
Oct 18, 2016 to Nov 1, 2020factForm ADV

Dated events

Occurred
Mar 31, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-136M
Occurred
Mar 30, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$144M
Occurred
Feb 11, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b787293b-f832-9c5f-217e-1607091c544d
First observed: Feb 11, 2016
Last observed: Jun 30, 2020 75 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.