DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 105343
MARION, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| M•••••• N•• B•••••• | n/a | MARION, MA | 32 | 52 | n/a | no |
| D•••• A•••• B•••••• | n/a | MARION, MA | HOBE SOUND, FL | 32 | 44 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| H•••••••• G••••• F••• | Private Equity Fund | $26.1M | Oct 13, 2016 | 52 | Mar 28, 2012 | dropped | 021-147778 |
| G••••• V••••••• L•• | Venture Capital Fund | $12.0M | Sep 2, 2026 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• T•••••• C••••••• | MANAGING PARTNER AND CHIEF OPERATING OFFICER | C | yes | 07/2024 | Sep 2, 2026 | Sep 2, 2026 |
| D•••• S•••••• T••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2024 | Sep 2, 2026 | Sep 2, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L••• D• A••••••• | n/a | n/a | n/a | Y | yes | n/a |
| P••• A•• A•••••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MILL VALLEY | CA | United States | 1 | no |
| Louisville | Ky | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 5.9% | 0 | 0 | 0 | 8 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.3B | $2.5B | -6.8% | $1.9B | 7.0% | 34 | 33 | 8 | 9 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| K•• I••••••••• A•••••••• L•• | 3 | Jul 2, 2024 | Jul 1, 2024 | PROVIDENCE, RI | Firm absorbed | RIA to RIA | 60.0% |
| A••••••• R••••••• • M••••••••• C• | 2 | Oct 19, 2022 | Oct 17, 2022 |
| no |
| W•••••• H••••• M••••• | n/a | MARION, MA | 13 | 24 | 1 | no |
| K•••••• S••• R••• | Certified Financial Planner | MARION, MA | 6 | 15 | 1 | no |
| W•••••• W• K•••• | Chartered Financial Analyst | MARION, MA | GREENVALE, NY | 4 | 13 | 1 | no |
| A••••• F••••••• M••••••• | Chartered Financial Analyst | MARION, MA | 3 | 27 | 1 | no |
| E••• H••••• S••••• | n/a | MARION, MA | 3 | 29 | 1 | no |
| K••••••• W••••• T•••••• | n/a | MARION, MA | 3 | 21 | n/a | no |
| N••••• D• S•••••• | n/a | MARION, MA | 3 | 16 | n/a | no |
| S••••• T••••• D••• | n/a | REVERE, MA | MARION, MA | 2 | 25 | 10 | no |
| C•••• R• D•••• | Certified Financial Planner|Chartered Financial Consultant | MARION, MA | GLENDALE, RI | 2 | 25 | 4 | no |
| P••• A•• A•••••• | Certified Financial Planner|Personal Financial Specialist | JAMESTOWN, RI | MARION, MA | BRADENTON, FL | 2 | 23 | 3 | no |
| A•• S•••••• L•••• | n/a | SKOKIE, IL | MARION, MA | 1 | 10 | 1 | no |
| J••• R••••• P••• | Chartered Financial Analyst | MARION, MA | LOUISVILLE, KY | 1 | 13 | 1 | no |
| K••••••• M•••• S•••• | n/a | MARION, MA | 0 | 30 | n/a | no |
| K•••••••• A••• K•••• | Chartered Financial Analyst | LOUISVILLE, KY | MARION, MA | 0 | 13 | 1 | no |
| Z•••••• J• S••••••• | Chartered Financial Analyst | MARION, MA | PITTSBURGH, PA | 0 | 10 | n/a | no |
| 13 |
| Sep 13, 2018 |
| reported |
| 021-311559 |
| N•••••• P••••••• | Hedge Fund | $10.4M | Oct 23, 2013 | 47 | Mar 28, 2012 | dropped | 021-153712 |
| W••• I• F••• I• L•• | Private Equity Fund | $7.2M | Oct 23, 2013 | 25 | Mar 28, 2012 | dropped | 021-151801 |
| H•••••••• G••••• F••• I• | Private Equity Fund | $5.7M | Oct 13, 2016 | 10 | Mar 28, 2012 | dropped | 021-153719 |
| U•••••• I••••••••• P••••••• L•• | Private Equity Fund | $4.1M | Nov 22, 2019 | 5 | Mar 28, 2012 | dropped | 021-115995 |
| W••• I• F••• | Private Equity Fund | $2.6M | Oct 23, 2013 | 33 | Mar 28, 2012 | dropped | 021-153304 |
| F• P••••••• | Venture Capital Fund | $980,000 | Oct 13, 2015 | 50 | Mar 28, 2012 | dropped | 021-91943 |
| F•••••• P••••••• | Private Equity Fund | $849,270 | Nov 5, 2014 | 9 | Mar 28, 2012 | dropped | n/a |
| P•• P••••••• | Venture Capital Fund | $847,000 | Oct 13, 2015 | 42 | Mar 28, 2012 | dropped | 021-62430 |
| F• P••••••• | Venture Capital Fund | $700,000 | Oct 13, 2015 | 43 | Mar 28, 2012 | dropped | 021-65853 |
| B••••• B•• | Venture Capital Fund | $226,652 | Nov 22, 2019 | 24 | Mar 28, 2012 | dropped | 021-84760 |
| R•• P••••••• | Venture Capital Fund | $197,967 | Oct 13, 2015 | 15 | Mar 28, 2012 | dropped | n/a |
| E•••••••• P••••••• | Hedge Fund | $113,056 | Nov 22, 2019 | 53 | Mar 28, 2012 | dropped | 021-153571 |
| S••••• P••••••• | Venture Capital Fund | $79,585 | Oct 13, 2015 | 18 | Mar 28, 2012 | dropped | n/a |
| P•••• P••••••• | Venture Capital Fund | $5,516 | Oct 13, 2015 | 12 | Mar 28, 2012 | dropped | n/a |
| X••••••• P••••••• | Venture Capital Fund | $0 | Nov 21, 2017 | 0 | Mar 28, 2012 | dropped | n/a |
| CHIEF INVESTMENT OFFICER |
| Na |
| yes |
| 01/2024 |
| Sep 2, 2026 |
| Sep 2, 2026 |
| M•••••• W••••••• H••••• | MANAGING DIRECTOR | B | yes | 07/2020 | Sep 2, 2026 | Sep 2, 2026 |
| S•••••• E•••• H••••• | PRESIDENT AND CHIEF EXECUITVE OFFICER | Na | yes | 03/2024 | Sep 2, 2026 | Sep 2, 2026 |
| T• S••••• C••••••••• | Shareholder | B | yes | 06/2026 | Sep 2, 2026 | Sep 2, 2026 |
| A••••••• R••••••• • M••••••••• C• | Shareholder | B | yes | 10/2022 | Oct 28, 2022 | Dec 6, 2024 |
| M•••••••• A•••••• F••••••• | Shareholder | D | yes | 02/2000 | Oct 28, 2022 | Dec 6, 2024 |
| S•••••• E•••• H••••• | Shareholder | D | yes | 10/2004 | Oct 28, 2022 | Dec 6, 2024 |
| M••••••• W••••• P••••••• | Shareholder | B | no | 10/2020 | Sep 2, 2026 | Sep 2, 2026 |
| M•••••• J•••• L•••••• | Shareholder | B | no | 07/2020 | Oct 13, 2015 | Dec 6, 2024 |
| Mar 23, 2026 |
| $2.3B |
| $2.3B |
| 34 |
| 14 |
| 7 |
| 1 |
| n/a |
| 2024 | Apr 25, 2025 | $2.5B | $2.5B | 33 | 14 | 9 | 1 | n/a |
| 2023 | Mar 26, 2024 | $2.3B | $2.2B | 29 | 12 | 5 | 1 | $10.0M |
| 2022 | Mar 30, 2023 | $1.9B | $1.9B | 30 | 12 | 4 | 1 | $9.6M |
| 2021 | Mar 30, 2022 | $1.6B | $1.6B | 21 | 8 | 2 | 1 | $8.4M |
| 2020 | Mar 31, 2021 | $1.3B | $1.3B | 20 | 11 | 1 | 1 | $4.9M |
| 2019 | Mar 29, 2020 | $1.2B | $1.2B | 19 | 8 | 1 | 1 | $1.1M |
| 2018 | Mar 28, 2019 | $1.0B | $982M | 20 | 9 | 1 | 4 | $5.6M |
| 2017 | Mar 23, 2018 | $1.0B | $976M | 21 | 8 | 1 | 3 | $4.6M |
| 2016 | Mar 1, 2017 | $762M | $749M | 21 | 7 | n/a | 4 | $5.2M |
| 2015 | Mar 18, 2016 | $936M | $925M | 24 | 8 | n/a | 8 | $74.3M |
| 2014 | Mar 23, 2015 | $994M | $982M | 23 | 7 | n/a | 13 | $79.2M |
| 2013 | Mar 26, 2014 | $940M | $903M | 22 | 7 | n/a | 14 | $83.9M |
| 2012 | Mar 19, 2013 | $721M | $721M | 19 | 5 | n/a | 16 | $85.7M |
| 2011 | Mar 28, 2012 | $726M | $726M | n/a | n/a | n/a | 16 | $98.5M |
| MARION, MA |
| Team lift out |
| RIA to RIA |
| 100.0% |
| P•• C•••••• M••••••••• L•• | 2 | Dec 31, 2015 | Apr 17, 2026 | PROSPECT, KY | Team lift out | Other | 100.0% |