DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

E•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 104659SEC 801-24250IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$701M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$701M as of Mar 30, 2016
Mar 29, 2012$549M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 30, 2016
Mar 28, 20139 then
Employees (5.A)15 as of Mar 30, 2016
Mar 28, 201318 then
Private funds: no history
RAUM -3.6% over the last fiscal year+4.9% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$87.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$769,419derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$44.9M, 19 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
911reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$44.9M for 19 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• K••••••• V••••••• · Chief Compliance Officercontrol
      since 03/2010 · owns less than 5%
    • G••••••• B••••••• · President/Managing Directorcontrol
      since 04/1986 · owns 25% to 50%
    • H•••• N•••••••• J• · Directorcontrol
      since 10/2000 · owns less than 5%
    • K•••• C•••••••• H•••••• · Managing Directorcontrol
      since 03/2003 · owns 10% to 25%
    • O••••• J••••• M••••• · Directorcontrol
      since 03/1996 · owns 10% to 25%
    • R•••••••• S••••• A••••• · Managing Directorcontrol
      since 07/2011 · owns 5% to 10%
    • T••••• P•••• A• · Director Of Investmentscontrol
      since 12/2011 · owns less than 5%
    • W•••••• W••••••• M•••••• · Directorcontrol
      since 04/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Greenwich, CT
    What changed
    consecutive filings, newest first
    • Accounts · 895 to 911
      Mar 20, 2015 to Mar 30, 2016
    • Assets in custody · $49.5M to $44.9M
      Mar 20, 2015 to Mar 30, 2016
    • Employees · 18 to 15
      Mar 20, 2015 to Mar 30, 2016
    • Discretionary RAUM · $701M to $675M
      Mar 20, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $26.9M to $25.7M
      Mar 20, 2015 to Mar 30, 2016
    • RAUM · $727M to $701M
      Mar 20, 2015 to Mar 30, 2016
    • Accounts · 874 to 895
      Jul 22, 2014 to Mar 20, 2015
    • Business name · E•••••• I••••••••• M••••••••• I•• to E•••••• I••••••••• M••••••••• L••
      Jul 22, 2014 to Mar 20, 2015
    • Assets in custody · $32.2M to $49.5M
      Jul 22, 2014 to Mar 20, 2015
    • State-registered IARs · 9 to 8
      Jul 22, 2014 to Mar 20, 2015
    • Legal name · E•••••• I••••••••• M••••••••• I•• to E•••••• I••••••••• M••••••••• L••
      Jul 22, 2014 to Mar 20, 2015
    • Discretionary RAUM · $658M to $701M
      Jul 22, 2014 to Mar 20, 2015
    • Non-discretionary RAUM · $20.9M to $26.9M
      Jul 22, 2014 to Mar 20, 2015
    • RAUM · $678M to $727M
      Jul 22, 2014 to Mar 20, 2015
    • Succession · true to false
      Jul 22, 2014 to Mar 20, 2015
    • Organization form · Corporation to Limited Liability Company
      Mar 31, 2014 to Jul 22, 2014
    • Succession · false to true
      Mar 31, 2014 to Jul 22, 2014
    • Accounts · 855 to 874
      Jan 2, 2014 to Mar 31, 2014
    • Advisory activities · 3 to 4
      Jan 2, 2014 to Mar 31, 2014
    • Assets in custody · $31.6M to $32.2M
      Jan 2, 2014 to Mar 31, 2014
    • Discretionary RAUM · $607M to $658M
      Jan 2, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $0 to $20.9M
      Jan 2, 2014 to Mar 31, 2014
    • RAUM · $607M to $678M
      Jan 2, 2014 to Mar 31, 2014
    • Assets in custody · unset to 31565790.0
      Mar 28, 2013 to Jan 2, 2014
    • Custody of client assets · false to true
      Mar 28, 2013 to Jan 2, 2014
    • Accounts · 887 to 855
      Sep 18, 2012 to Mar 28, 2013
    • Advisory employees · unset to 8.0
      Sep 18, 2012 to Mar 28, 2013
    • Employees · unset to 18.0
      Sep 18, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 9.0
      Sep 18, 2012 to Mar 28, 2013
    • Discretionary RAUM · $549M to $607M
      Sep 18, 2012 to Mar 28, 2013
    • RAUM · $549M to $607M
      Sep 18, 2012 to Mar 28, 2013
    Signals
    1 dated events
    • E•••••• I••••••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 22, 2014 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026