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C•••••• C•••••• F•••••••• P•••••••• 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

C•••••• C•••••• F•••••••• P•••••••• L••

CRD 147960

NEEDHAM, 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 graphsid dfx:ria:bd9b2ce0-91de-93de-a108-411ef6e50658

Data as of May 4, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Jul 8, 2021 to May 4, 2023
10 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: $99.2MItem 5.F on the latest filing (2023-05-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $99.2M
Private client RAUM: $99.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%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
H••••• C••••••• W••••••	PRINCIPAL/CHIEF COMPLIANCE OFFICER	E	yes	08/2008	Jul 8, 2021	May 4, 2023

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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
2022	$99.2M	$125M	-20.8%	n/a	n/a	2	1	1	0

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
M•••••• W••••• M••••••••• L•	2	Mar 18, 2024	Mar 27, 2024	NEEDHAM, MA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← H••••• C••••••• W••••••OwnerPRINCIPAL/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 8, 2021 to presentfactForm ADV

Moved with (1)

→ M•••••• W••••• M••••••••• L•Registered adviser2 advisors, team lift out, same day
Mar 18, 2024 to Mar 27, 2024factForm ADV

Registered with (2)

← C•••••• W•••••• H••••Advisorregistration: previous registration
Aug 25, 2008 to Mar 18, 2024factForm ADV

Dated events

Occurred
Mar 18, 2024
Team lift-out
2 advisors left C•••••• C•••••• F•••••••• P•••••••• L•• (Needham, MA) for M•••••• W••••• M••••••••• L• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 18, 2024
Advisor changed firm
George Andrew Conway left C•••••• C•••••• F•••••••• P•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2024-03-27)
Form ADVobserved 7 days ago
Occurred
Mar 18, 2024
Advisor changed firm
Carroll William Hayes left C•••••• C•••••• F•••••••• P•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2024-03-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd9b2ce0-91de-93de-a108-411ef6e50658
First observed: Jul 8, 2021
Last observed: May 4, 2023 41 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.