DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

K••••• I••••••••• A•••••••• L••

CRD 131216

BOSTON, 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:c1372f93-76b0-dc72-55aa-f107c447bd79

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Mar 6, 2026 to Mar 6, 2026
1 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: $145M••• Locked
Discretionary RAUM: $3.5M
Private client RAUM: $145Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 6, 2026	$145M	$3.5M	2	2	0	n/a	n/a

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	2	-2	n/a	0	2	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$145M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••	2	Jun 30, 2026	Jun 22, 2026	BOSTON, MA	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (4)

← M••••••• M••• K•••••Advisorregistration: previous registration
Mar 30, 2004 to Jun 30, 2026factForm ADV
← L•••• S•••• A•••••••Advisorregistration: previous registration
Dec 8, 2017 to Jun 30, 2026factForm ADV
← T•••• A•• S•••Advisorregistration: previous registration
May 5, 2011 to Jun 29, 2018factForm ADV
← S••• C••••••••• K••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 30, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jun 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1372f93-76b0-dc72-55aa-f107c447bd79
First observed: Mar 6, 2026
Last observed: Mar 6, 2026 6 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.