DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A••••• W••••• M••••••••• L••

CRD 170099

WALTHAM, MA

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Search this name across graphsid dfx:ria:dd491032-71ea-8f54-6e82-b9a9a0acf81f

Data as of Sep 2, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 3
On other graphs: 1
Observed: Dec 20, 2013 to Sep 2, 2020
17 observations

Across DFX

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

Private Equityidentity

A••••• W••••• M••••••••• L••

Private equity manager · shared 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: $1.8B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• P•••••• E••••• I• L••	Private Equity Fund	$2.8M	Sep 2, 2020	18	Mar 29, 2012	reported	021-101731
K••••• P••• C•••••• P•••••••• L•	Other Private Fund	$2,000

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• W••••• M••••••••• I•••	Owner	E	yes	12/2006	Dec 20, 2013	Sep 2, 2020
B••••••• W••••••• T•••••	MANAGING DIRECTOR	C	yes	11/2013	Dec 20, 2013	Sep 2, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• W••••• E•••••• L••	n/a	n/a	n/a	Y	yes	n/a
D••••••••• • K•••• L••	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Naples	FL	United States	0	no

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	$1.8B	$1.6B	15.0%	$1.5B	5.4%	26	27	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	9	Nov 16, 2020	Jan 22, 2021	WALTHAM, MA	Firm absorbed	RIA to ibd	100.0%

Relationships

Advises (2)

→ A••••• P•••••• E••••• I• L••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ K••••• P••• C•••••• P•••••••• L•Private fundOther Private Fund, IA, no longer reported
Aug 12, 2013 to Mar 24, 2017factForm ADV

Controls (8)

← A••••• W••••• M••••••••• I•••OwnerOWNER, ownership code E, domestic entity
Dec 20, 2013 to presentfactForm ADV
← F•••• J•••••• E•••••

Dated events

Occurred
Mar 18, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 21, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 20, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd491032-71ea-8f54-6e82-b9a9a0acf81f
First observed: Dec 20, 2013
Last observed: Sep 2, 2020 73 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.