DFX Intelligence

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N••••••• C•••••• L••

UnclassifiedNot hand-verified in 180 days· Westerly, RI

Unclassified, based in Westerly, RI.

Composed from this office's classification, location and record.

As of 2026-09-23 · the latest observation of this office; filed figures carry their own filing dates

13F holdings: $143M
Last deployment: Nov 2024

Contact the team

1 export, up to 2 contact revealsMandate

As of 2026-09-23 · the latest observation of this office; filed figures carry their own filing dates

Nothing material in the last 365 days. Last change: 23 Sep 2026, ••• Locked.

Readings, classification basis and verification29 observations · 1 sourceShow

UnclassifiedNot yet hand-verified1 people · 0 investments · 159 public positions · 10 events

Key claims on this profile have not been hand-verified in the last 180 days. Regulatory facts carry their filing dates; everything else is as of the date shown beside it.

Each reading is 0 to 100 from the listed components in the evidence section; hover a tile for what it measures. No evidence yet of: direct investing, external managers, private markets, sponsor-friendly, real estate, co-investment.

Profile completeness 19% (medium value, unresolved; the most valuable missing fact is classification)

identityclassificationwealth origincapital-scale evidencepeoplecontactsmandatedirect investmentsfund relationshipsco-investorssponsor relationshipsreal estatepublic holdingsrecent eventsprovenancefreshness

Overview

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Classification: Unclassified
Description: unknown
Headquarters: Westerly, RI
Office address: unknown
Business phone: unknown
Website: unknown
Year established: unknown
Assets under management: unknown
Capital scale: Reported office AUM: unknown. 13F disclosed value $143M. These are different facts and are never added together.
Form 13F: $143M across 159 positions, quarter ended Sep 30, 2024. Long 13(f) securities only; never the whole portfolio.Fact

Team

1 people, decision makers firstshow

Person	Title	Responsibility	Business contact	Source
J•••••• L••••••	Chief Compliance Officer	Operations and finance	phone: ••• Locked (published by the subject, Nov 12, 2024)	sec.gov Fact

Office contact points

Office address: ••• Locked (published by the subject) sec.gov

Signals and timeline

1show

Most significant first: what kind of change it is, its size, whose change it is, and how recent. 1 events. 13F position changes are under Public stakes and holdings.

Sep 23, 2026Office discovered••• LockedDiscoveryInferencesec.gov

Investment mandate

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Stated (their words, cited)

No cited statement of mandate on the record.

Observed (from the investment record)

No investments on the record yet, so nothing is observed.

Inferred (regulatory shape and team)

Nothing to infer from.

Invests directly: unknown
Allocates to managers: unknown
Asset classes: unknown
Sectors: unknown
Geography: unknown
Check size: unknown

Direct investments

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No substantiated direct investment on the record. Absence here is absence of evidence, not evidence of absence.

Fund and manager relationships

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No fund commitment or manager relationship on the record. Commitment amounts are shown only when public.

Public stakes and holdings

40 positionsshow

Form 13F holdings

Top 40 positions of 159 for the quarter ended Sep 30, 2024; $88.4M shown of $143M reported. Long 13(f) securities only. Never presented as the whole portfolio.

Issuer	Class	Value	Shares	Weight
I•••••• T•	EAFE VALUE ETF	$5.9M	102,294	4.1%
I•••••• I••	CORE MSCI EMKT	$5.2M	90,162	3.6%
B•••••••• H••••••• I•• D••	CL B NEW	$5.1M	11,122	3.6%
S••••• S•••••••• T•	US LRG CAP ETF	$5.1M	75,110	3.6%
A•••• I••	COM	$4.4M	18,989	3.1%
B••••• C•••••••••	COM	$3.4M	196,286	2.4%
M•••••••• C•••	COM	$3.3M	7,575	2.3%
S••• S•• T•	PORTFOLIO S&P600	$3.1M	67,310	2.1%
J• P• M••••• E••••••• T••••• F•	EQUITY PREMIUM	$3.0M	51,145	2.1%
J• P• M••••• E••••••• T••••• F•	HEDGED EQUITY LA	$3.0M	49,639	2.1%

All 40 positionslargest value first

Issuer	Class	Value	Shares	Weight
S••••• S•••••••• T•	US MID-CAP ETF	$3.0M	35,819	2.1%
I•••••• T•	CORE S&P500 ETF	$2.8M	4,849	2.0%
I•••••• Q•• T•	UNIT SER 1	$2.8M	5,666	1.9%
I•••••• T•	EAFE GRWTH ETF	$2.3M	21,585	1.6%
I•••••• T•	CORE US AGGBD ET	$2.2M	21,936	1.5%
A••••••• I••	CAP STK CL A	$2.0M	12,243	1.4%
N••••• C•••••••••	COM	$1.9M	15,621	1.3%
V••••••• I•••• F••	TOTAL STK MKT	$1.8M	6,479	1.3%
T••••• F••••• S••••••••• I••	COM	$1.8M	2,957	1.3%
S••• S•• T•	PORTFOLIO SH TSR	$1.8M	62,090	1.3%
V••••••• I•••• F••	S&P 500 ETF SHS	$1.8M	3,349	1.2%
W••••••••• T• B•••••• I••	COM	$1.8M	54,593	1.2%
A••••• C•• I••	COM	$1.5M	7,809	1.0%
A••••••• I••	CAP STK CL C	$1.4M	8,338	1.0%
S••• S•• T•	PORTFOLIO LN TSR	$1.4M	47,863	1.0%
I•••••• T•	CORE S&P SCP ETF	$1.3M	11,506	0.9%
S••• S•• T•	PORTFLI INTRMDIT	$1.3M	45,535	0.9%
J••••••• C•••• • C••	COM	$1.3M	5,959	0.9%
J• P• M••••• E••••••• T••••• F•	NASDAQ EQT PREM	$1.3M	22,796	0.9%
W•••••• I••	COM	$1.2M	14,331	0.8%
H••••• I••	COM	$1.1M	15,758	0.8%
I••••••••• P•••• C•	COM	$1.1M	23,072	0.8%
I•••••• T•	RUSSELL 2000 ETF	$1.1M	4,847	0.7%
I•••••• T•	RUS MID CAP ETF	$1.0M	11,855	0.7%
A•••• I••	COM	$999,502	8,940	0.7%
I•••••• T•	RUS MD CP GR ETF	$995,909	8,491	0.7%
R•• C•••••••••	COM	$995,451	8,216	0.7%
E•••• M•••• C•••	COM	$993,205	8,473	0.7%
S••• S•• T•	BLOOMBERG 1-3 MO	$984,808	10,727	0.7%
N••••• I••	COM	$961,649	7,786	0.7%

Changes between the last two quarters

Sep 30, 2024 ••• Locked sec.gov
Jun 30, 2024 ••• Locked sec.gov
Jun 30, 2024 ••• Locked sec.gov
Jun 30, 2024 ••• Locked sec.gov
Jun 30, 2024 ••• Locked sec.gov

Real estate

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No documented real estate ownership link. A property is attributed to an office only through a documented control relationship, never from a surname.

Co-investors

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No co-investor on the record.

Independent sponsor relationships

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No cited relationship to an independent sponsor.

Related entities

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Sources and evidence

29show

Every observation behind this profile: the value, when it was effective, the source, the quote where there is one, and whether it is a fact, an inference or an estimate. 29 shown.

View all 29 observations

Fact	Value	Effective	Source	Class
Filing address	••• Locked	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Filing address	••• Locked	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Filing address	••• Locked	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Filing address	••• Locked	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F filer	Y	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F filer	Y	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F filer	Y	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F filer	Y	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F admission signal	Non adviser filer	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Other managers on 13F	0	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Other managers on 13F	0	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Other managers on 13F	0	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Other managers on 13F	0	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Latest 13F quarter	2024-09-30	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Latest 13F quarter	2024-06-30	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Latest 13F quarter	2024-03-31	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Latest 13F quarter	2023-12-31	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F positions	159	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F positions	136	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F positions	121	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F positions	117	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F table value	$143M	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F table value	$123M	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F table value	$103M	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
13F table value	$99.8M	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Headquarters	Westerly, RI	Sep 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Headquarters	Westerly, RI	Jun 30, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Headquarters	Westerly, RI	Mar 31, 2024	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact
Headquarters	Westerly, RI	Dec 31, 2023	SEC Form 13F data sets (quarterly holdings, all filers) sec.gov	Fact

Not yet on record: direct investments, decision makers.