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

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

I•••••••• C•••••• A•••••••

I•••••••• C•••••• C••••, CRD 30613

LYNNFIELD, 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:f1f32bbb-0f79-9839-74af-f600aed76b5e

Data as of Oct 5, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 447
Dated events: 0
On other graphs: 1
Observed: Dec 5, 2011 to Oct 5, 2016
27 observations

Across DFX

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

Venture Capitalidentity

I•••••••• C•••••• C••••

Venture 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: $1.6BItem 5.F on the latest filing (2016-10-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• A••• N•••••••	Director	Na	yes	07/2016	Oct 5, 2016	Oct 5, 2016
A••••• G••••• I•••	SOLE MEMBER	E	yes	07/2014	May 26, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• I••••••••• A••••••• L••	n/a	Bd affiliated wealth	$257B	N	yes	n/a
C••••• A•••••• N••••••• L••	n/a	Former SEC adviser	$47B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FALL RIVER	Ma	United States	n/a	no
Framingham	Ma	United States	n/a	no
Worcester	Ma	United States	n/a	no
Waterville	Me	United States	n/a	no
Horsham	Pa

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 5

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$1.6B	$1.5B	1.5%	$884M	21.1%	325	590	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A••••••• L••	43	Oct 3, 2016	Oct 3, 2016	LYNNFIELD, MA	Channel change	Other	28.9%
A•••• C•••••• L••	2	Oct 3, 2016

Relationships

showing 80 of 447

Affiliated with (13)

→ C••••• A••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ L••••• A•••••••, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••••• F•••••••• G•••• I••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1f32bbb-0f79-9839-74af-f600aed76b5e
First observed: Dec 5, 2011
Last observed: Oct 5, 2016 121 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.

Registered with (55)

← T•••••• B•••• M•••••Advisorregistration: previous registration
Mar 2, 2004 to Oct 18, 2016factForm ADV
← BARTON LIROAdvisorregistration: previous registration
Jul 31, 2008 to Oct 18, 2016factForm ADV
← Kenneth K NdunguAdvisorregistration: previous registration
Sep 15, 2015 to Oct 18, 2016factForm ADV
← JAMIE DEGISOAdvisorregistration: previous registration
Sep 18, 2013 to Oct 18, 2016factForm ADV
← Christopher Thomas McDonoughAdvisorregistration: previous registration
Mar 10, 2014 to Oct 18, 2016factForm ADV
← JASON LEROY MADSENAdvisorregistration: previous registration
Aug 10, 2016 to Oct 18, 2016factForm ADV
← JOSEPH ALLAN MARSHALLAdvisorregistration: previous registration
Sep 9, 2005 to Oct 3, 2016factForm ADV
← STEVEN M••• BLANCHARDAdvisorregistration: previous registration
Jun 16, 2005 to Oct 3, 2016factForm ADV
← DAVID KEVIN DUGANAdvisorregistration: previous registration
Jan 24, 2014 to Oct 3, 2016factForm ADV
← BRIAN CHRISTOPHER OROURKEAdvisorregistration: previous registration
Mar 30, 2006 to Oct 3, 2016factForm ADV
← DAVID LANE GABAYAdvisorregistration: previous registration
Nov 19, 2009 to Oct 3, 2016factForm ADV
← GARY RUSSELL AIKENAdvisorregistration: previous registration
Jan 2, 2008 to Oct 3, 2016factForm ADV
← Edward Andrews CastleberryAdvisorregistration: previous registration
Jan 11, 2005 to Oct 3, 2016factForm ADV
← THOMAS PRESTON FALTERAdvisorregistration: previous registration
Jan 3, 2005 to Oct 3, 2016factForm ADV
← RICHARD FRANK PARNIGONIAdvisorregistration: previous registration
Jan 26, 2015 to Oct 3, 2016factForm ADV
← DANIEL EDWARD CROWLEYAdvisorregistration: previous registration
Oct 1, 2003 to Oct 3, 2016factForm ADV
← Joseph Howard SpanoAdvisorregistration: previous registration
Mar 16, 2015 to Oct 3, 2016factForm ADV
← TERRY RICHARD BURTONAdvisorregistration: previous registration
Jan 10, 2005 to Oct 3, 2016factForm ADV
← WARD WESLEY MOLENAdvisorregistration: previous registration
Jun 10, 2008 to Oct 3, 2016factForm ADV
← CHARLES R••••• KELLYAdvisorregistration: previous registration
Aug 21, 2012 to Oct 3, 2016factForm ADV
← GERARD GEORGE FIGARIAdvisorregistration: previous registration
Jun 9, 2008 to Oct 3, 2016factForm ADV
← JULIUS DANIEL HICKSAdvisorregistration: previous registration
Jun 16, 2005 to Oct 3, 2016factForm ADV
← JOHN WALTER MACDONALDAdvisorregistration: previous registration
Jun 14, 2004 to Oct 3, 2016factForm ADV
← NANETTE ORTEIG BLISHAdvisorregistration: previous registration
Mar 30, 2012 to Oct 3, 2016factForm ADV
← FRANCIS THOMAS B••••Advisorregistration: previous registration
Jul 2, 2012 to Oct 3, 2016factForm ADV
← REGINA M KOZSANAdvisorregistration: previous registration
Nov 7, 2008 to Oct 3, 2016factForm ADV
← TRAVIS JEROME HUGHESAdvisorregistration: previous registration
Sep 24, 2008 to Oct 3, 2016factForm ADV
← JOHN DAVID LODENAdvisorregistration: previous registration
Feb 12, 2008 to Oct 3, 2016factForm ADV
← BRADFORD HAROLD LEBLANCAdvisorregistration: previous registration
Jan 8, 2007 to Oct 3, 2016factForm ADV
← RICHARD ALLAN SHAWAdvisorregistration: previous registration
Oct 27, 2004 to Oct 3, 2016factForm ADV
and 25 more