DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M•••• L••• I••••••••• M•••••••••

M•••• L••• I••••••••• M••••••••• I••, CRD 112205

SPRINGFIELD, MA

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Search this name across graphsid dfx:ria:c4897379-3105-0dbc-1dbb-f99279955931

Data as of Dec 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 1
Observed: Dec 19, 2012 to Dec 19, 2012
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M•••• L••• I••••••••• M••••••••• I••

Manager with allocator commitments · key crd

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: $21.8M••• Locked
Discretionary RAUM: $21.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• C••••••••• R••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	10/2003	Dec 19, 2012	Dec 19, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Dec 19, 2012	$21.8M	$21.8M	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$21.8M	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (1)

← G••••• C••••••••• R••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 19, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4897379-3105-0dbc-1dbb-f99279955931
First observed: Dec 19, 2012
Last observed: Dec 19, 2012 167 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.