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P••• T••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

P••• T••• A•••••••• I•••

CRD 104576

LINCOLN, MA

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Search this name across graphsid dfx:ria:becf3f94-873b-f7f7-c7a4-c70ab3451a8b

Data as of Sep 25, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 0
Observed: Mar 19, 2012 to Sep 25, 2025
21 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0
Regulatory AUM: $3.1B••• Locked
Discretionary RAUM: $3.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $1.5Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••• O••••••••	n/a	LINCOLN, MA	24	55	n/a	yes
W•••••• L•• U••••••	Chartered Financial Analyst	LINCOLN, MA	24	46

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• D••••••• A•••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2006	Mar 19, 2012	Sep 24, 2024
L••• O•••••••• T•••• U•• D•• 5•••••••• L••• O•••••••• T••••••	Owner	D	yes	04/2019	Apr 20, 2021	Sep 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U• S• B••••• C•••••• C•••••••••	n/a	Independent wealth	$360M	N	yes	n/a
P••• T••• P•••••••• L•	n/a	Former SEC adviser	$100M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$3.1B	$4.7B	-34.9%	$5.8B	-19.0%	13	10	0	0

Relationships

Affiliated with (4)

← U• S• B••••• C•••••• C•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ P••• T••• P•••••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ U• S• B••••• C•••••• C•••••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← P••• T••• P•••••••• L•Registered adviserother investment adviser, common control

Dated events

Occurred
Sep 25, 2025
Regulatory AUM changed
P••• T••• A•••••••• I••• reported RAUM $3.1B, down 32% from $4.5B (2025-03-03 to 2025-09-25)
Form ADVobserved 7 days ago
$-1.4B
Occurred
Sep 9, 2021
Regulatory AUM changed
P••• T••• A•••••••• I••• reported RAUM $5.8B, up 49% from $3.9B (2021-04-20 to 2021-09-09)
Form ADVobserved 7 days ago
$1.9B
Occurred
Sep 12, 2018
Regulatory AUM changed
P••• T••• A•••••••• I••• reported RAUM $4.6B, up 52% from $3.0B (2017-08-22 to 2018-09-12)
Form ADVobserved 7 days ago
$1.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:becf3f94-873b-f7f7-c7a4-c70ab3451a8b
First observed: Mar 19, 2012
Last observed: Sep 25, 2025 12 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.