DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

4•• C••••••• L••

CRD 167462

WAKEFIELD, MA

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Search this name across graphsid dfx:ria:cd097138-6678-247c-f0bf-aa0a667c173e

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 3
Observed: Jun 30, 2022 to Apr 29, 2026
9 observations

Across DFX

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

Venture Capitalidentity

4•• C••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

4•• C••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

4•• C••••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $584M••• Locked
Discretionary RAUM: $584M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••• V•••••• P••••••• I•• L•	Private Equity Fund	$89.0M	May 1, 2024	68	Jul 20, 2017	reported	n/a
4•• C•••••• C••••••••• F••• I• L•	Private Equity Fund	$64.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• W•••••	Principal	C	yes	12/2004	Jun 30, 2022	May 1, 2024
M•••••• F•••••••• H•••••	Principal	A	yes	07/1998	Jun 30, 2022	May 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
4•• C•••••• F••• I• L••	n/a	n/a	n/a	N	yes	n/a
4•• C•••••• F••• I•• L••	n/a	n/a	n/a	N	yes	n/a
B•••• V•••••• P••••••• I•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 2026

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	$584M	$397M	47.4%	$207M	41.3%	20	20	0	0

Relationships

Advises (11)

→ B•••• P••••••• I•• L••Private fundPrivate Equity Fund, IA
Jul 20, 2017 to presentfactForm ADV
→ B•••• V•••••• F••• I••• L•Private fundOther Private Fund, IA
May 11, 2017 to presentfactForm ADV
→ 4•• C•••••• C••••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ F•••••• S•••••• L••

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
4•• C••••••• L•• reported RAUM $584.5M, up 47% from $396.7M (2025-03-28 to 2026-03-27)
Form ADVobserved 7 days ago
$188M
Occurred
Jun 30, 2022
First Form ADV filing
4•• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd097138-6678-247c-f0bf-aa0a667c173e
First observed: Jun 30, 2022
Last observed: Apr 29, 2026 4 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.