DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

A••••• W••••• M••••••••• C•••••••••

CRD 160779

WALTHAM, MA

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Search this name across graphsid dfx:ria:ed3bfc1f-7d30-f37d-68f1-9dbf2b09305a

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 6
On other graphs: 0
Observed: Aug 1, 2013 to Mar 28, 2024
21 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: $379M••• Locked
Discretionary RAUM: $376M
Private client RAUM: $376Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• W••••••• J•••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	07/2012	Aug 1, 2013	Mar 28, 2024
K••••••••• M•••	FOUNDER AND CHIEF EXECUTIVE OFFICER	E	yes	07/2012	Aug 1, 2013	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$379M	$320M	18.6%	$283M	10.3%	4	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C• A•••••••• L••	3	Jan 16, 2025	Jan 2, 2025	WALTHAM, MA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (2)

← K••••••••• M•••OwnerFOUNDER AND CHIEF EXECUTIVE OFFICER, ownership code E, individual
Aug 1, 2013 to presentfactForm ADV
← D••••••••• W••••••• J•••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 1, 2013 to presentfactForm ADV

Registered with (3)

← W•••••• J••••• D•••••••••Advisorregistration: previous registration
Jul 30, 2012 to Jan 16, 2025factForm ADV
← J••••••• M••• A••••

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$379M
Occurred
Jan 16, 2025
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
3 advisors
Occurred
Jan 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 16, 2025
Advisor changed firm
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed3bfc1f-7d30-f37d-68f1-9dbf2b09305a
First observed: Aug 1, 2013
Last observed: Mar 28, 2024 30 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.