DFX Intelligence

W•••••••• I••••••••• M••••••••• 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

W•••••••• I••••••••• M••••••••• I•••

CRD 155138

BOSTON, MA

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Search this name across graphsid dfx:ria:f62381fd-0e70-488e-f6d5-274b7d4f2485

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 61
Dated events: 0
On other graphs: 0
Observed: Nov 28, 2011 to Feb 15, 2018
22 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: $8.1B••• Locked
Discretionary RAUM: $8.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• M••••••• M•••••••••	CHIEF FINANCIAL OFFICER AND DIRECTOR	Na	yes	12/2015	Mar 29, 2016	Feb 15, 2018
D••••• A•••••	CHIEF LEGAL COUNSEL	Na	yes	07/2013	Jan 2, 2015	Feb 15, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• S••••• I••••••••• M••••••••• I••	n/a	Other adviser	$1721B	N	yes	n/a
C•••••• S••••• I••••••••• A•••••••• I•••	n/a	Former SEC adviser	$66B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	3	no
Phoenix	Az	United States	1	no
Orlando	FL	United States	1	no
Chicago	IL	United States	1	no
Austin	TX	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$8.1B	$12B	-32.2%	$19B	-24.3%	51	55	6	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••••• I•••	7	Mar 30, 2018	Jun 26, 2017	BOSTON, MA	Channel change	Other	33.3%
C•••••• S••••• I••••••••• A•••••••• I••	11	Mar 30, 2018	Mar 7, 2018

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••••• I•••	6	Mar 30, 2018	Jun 15, 2017	BOSTON, MA	Channel change	Other	30.0%

Relationships

Affiliated with (8)

→ T••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••• S••••• I••••••••• M••••••••• I••Registered adviserother investment adviser, bank, common control
factForm ADV
→ C•••••• S••••• I••••••••• A•••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f62381fd-0e70-488e-f6d5-274b7d4f2485
First observed: Nov 28, 2011
Last observed: Feb 15, 2018 104 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.