DFX Intelligence

A•••• D••••••• 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

A•••• D••••••• L••

CRD 157382

CAMBRIDGE, MA

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Data as of Nov 30, 2011 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Nov 30, 2011
2 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: $855,399••• Locked
Discretionary RAUM: $855,399
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 9
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• D•••••••• N••	MANAGING MEMBER	C	yes	12/2010	Nov 18, 2011	Nov 30, 2011
K•••••••• S••••••• E••••••••	CHIEF COMPLIANCE OFFICER, MEMBER	B	yes	12/2010	Nov 18, 2011	Nov 30, 2011

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••• F•••••••• L••	5	Dec 31, 2019	Nov 12, 2013	WALTHAM, MA	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← M••••• C••••••••• M••••••OwnerHEAD OF MARKETING, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV
← K•••••••• S••••••• E••••••••OwnerCHIEF COMPLIANCE OFFICER, MEMBER, ownership code B, individual
Nov 18, 2011 to presentfactForm ADV
← B••••••••• D•••••••• N••OwnerMANAGING MEMBER, ownership code C, individual
Nov 18, 2011 to presentfactForm ADV
← M••••••••• G••••••• N••OwnerMEMBER, ownership code B, individual
Nov 18, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 2011
Last observed: Nov 30, 2011 180 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.