DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S•••••• C•••••• M••••••••• L••

CRD 118404

WALTHAM, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f08f0b41-a7e6-5393-58f5-37a1839248a0

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 2
Observed: Mar 30, 2012 to Mar 31, 2026
19 observations

Across DFX

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

Private Equityidentity

S•••••• C•••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.36 fund_share=0.6 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $171M••• Locked
Discretionary RAUM: $171M
Private client RAUM: $61.2Mderived••• Locked
Private client share: 36%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $85.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• F••••• S••••••	Chartered Investment Counselor	WALTHAM, MA	21	40	n/a	no
R••••• C••••••• S••••••	n/a	WALTHAM, MA	21	33

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• P•••••• S••••• F••• I• L•• S••••• C•••••• C•	Private Equity Fund	$57.9M	Mar 31, 2026	30	Mar 31, 2021	reported	021-380241
S•••••• P•••••• S••••• F••• I• L•• S••••• C•••••• B•	Private Equity Fund	$13.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• S••••••• E••••••• R•••	CHIEF EXECUTIVE OFFICER	D	yes	11/2002	Mar 30, 2012	Mar 18, 2024
S••••••• R••••••• F•••••	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	C	yes	08/1986	Mar 30, 2012	Mar 18, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$171M	$125M	36.7%	$91.5M	23.1%	9	8	0	0

Relationships

Advises (11)

→ S•••••• G••••• I••••• P•••••••• 6• F•••• L••Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S•••••• P•••••• S••••• F••• I• L•• S••••• C•••••• B•Private fundPrivate Equity Fund, IA
Mar 28, 2019 to presentfactForm ADV
→ S•••••• P•••••• S••••• F••• I• L•• • S••••• C•••••• 1•Private fundPrivate Equity Fund, IA
Mar 28, 2019 to presentfactForm ADV
→ S•••••• N•• E•• T••••••••• G••••• F•••• L••

Dated events

Occurred
Mar 31, 2026
P•••••• fund no longer reported
••• Locked
Form ADVobserved today
$2.5M
Occurred
Mar 27, 2025
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f08f0b41-a7e6-5393-58f5-37a1839248a0
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 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.