DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A•••• W••••••• L••

CRD 110050

WESTWOOD, MA

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Search this name across graphsid dfx:ria:ca688920-523f-bae6-298f-f92c2550048e

Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2012 to Jun 30, 2020
14 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: $160M••• Locked
Discretionary RAUM: $160M
Private client RAUM: $88.5Mderived••• Locked
Private client share: 55%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••• T•••• R••••• F••• L• P•	Other Private Fund	$69.9M	Jun 30, 2020	53	Jan 26, 2012	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• D••••• I••••••••• I•••	MEMBER, OWNER	D	yes	07/1998	Jan 26, 2012	Jun 30, 2020
C•••• M•••••••• W• G•	OWNS 100% JOINTLY WITH HUSBAND, S••••• B. C•••, JR.	E	yes	04/1990	Jan 26, 2012	Jun 30, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$160M	$141M	13.5%	$158M	0.3%	2	2	0	0

Relationships

Advises (1)

→ C••• T•••• R••••• F••• L• P•Private fundOther Private Fund, IA
Jan 26, 2012 to presentfactForm ADV

Controls (7)

← S••• C••• I••••••••• I•••OwnerMEMBER, OWNER, ownership code D, domestic entity
Jan 26, 2012 to presentfactForm ADV
← D•••••• B•••••••• G••••••Owner100% VOTING CONTROL OF AND 50% ECONOMIC INTEREST, TRUSTEE OF A••• N•••••• TRUST, ownership code D, individual
Jan 26, 2012 to presentfactForm ADV
← C•••• S•••••• B••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca688920-523f-bae6-298f-f92c2550048e
First observed: Jan 26, 2012
Last observed: Jun 30, 2020 75 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.