DFX Intelligence

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

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

C••••••• • C••• I•••

CRD 13905

MALDEN, MA

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Search this name across graphsid dfx:ria:defab39b-f253-a43d-d8c9-8fb4a0529c47

Data as of Jun 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 292
Dated events: 40
On other graphs: 1
Observed: Mar 30, 2012 to Jun 1, 2023
44 observations

Across DFX

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

Allocatorsidentity

C••••••• • C••• I•••

Investment consultant · key crd, 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: $1.9B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 197

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• A••••••••• L••	Shareholder	C	yes	01/2004	Jan 29, 2014	Jun 1, 2023
C••••••• M••••••••• C•••••••••	Shareholder	E	yes	12/1989	Mar 30, 2012	Jun 1, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V•••• I••••••••• P••••••• L••	n/a	I•••••••••_WEALTH	$611M	N	no	n/a
M••• F•••••••• S•••••••• I•••	n/a	I•••••••••_WEALTH	$396M	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Malden	Ma	United States	5	yes
Malden	Ma	United States	3	yes
Evergreen	Co	United States	2	yes
S. PORTLAND	Me	United States	2	yes
Vineland	Nj	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$1.9B	$2.2B	-12.6%	$1.7B	4.4%	197	223	113	113

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••• I••••••••• R••••••• A•••••••• I•••	9	Apr 27, 2023	Jan 3, 2023	MALDEN, MA	Team lift out	Ibd to ibd	16.7%
C•••••••• I••••••••• R••••••• A•••••••• I•••	21	Apr 3, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	3	Apr 4, 2022	May 11, 2022	MOON TOWNSHIP, PA	Team lift out	Ibd to ibd	0.1%
S• A•••••••• L••	2	Sep 3, 2019	Sep 9, 2019

Relationships

showing 80 of 292

Affiliated with (6)

→ E••• A•••••••• L••Registered adviserother investment adviser
factForm ADV
→ V•••• I••••••••• P••••••• L••Registered adviserother investment adviser
factForm ADV
→ M••• F•••••••• G••••Registered adviserother investment adviser
factForm ADV
→ R••••••••• A•••••••• L••Registered adviserother investment adviser

Dated events

Occurred
May 12, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 5, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:defab39b-f253-a43d-d8c9-8fb4a0529c47
First observed: Mar 30, 2012
Last observed: Jun 1, 2023 40 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.