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

N••••• • A••••• I••

Former SEC-registered adviserBoston, MassachusettsCRD 104706SEC 801-35870IAPD
Latest filing Oct 31, 2016
First filing on the tape Mar 6, 2012 · 13 filings
RAUM
$80.2M
reported, Item 5.F
Discretionary
99%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$3.9M gross assets
History
13 filings and snapshots on the tape
RAUM$125M as of Mar 15, 2016
Mar 6, 2012$615M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2016
Mar 6, 20120 then
Employees (5.A)4 as of Mar 15, 2016
Mar 4, 20134 then
Private funds: no history
RAUM -89% over the last fiscal year-51% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 31, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$818,058derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-83%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
98reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••• • A••••• E•••••• L••Venture Capital Fund$1.1M13Oct 31, 2016
      N••••• • A••••• T•••• • L••Venture Capital Fund$1.1M21Oct 31, 2016
      N••••• • A••••• S••• L••Venture Capital Fund$963,64712Oct 31, 2016
      N••••• • A••••• T••• L••Venture Capital Fund$516,0775Oct 31, 2016
      N••••• • A••••• T••• L••Venture Capital Fund$144,15519Oct 31, 2016
      N••••• • A••••• F•••• L••Venture Capital Fund$79,4226Oct 31, 2016
      N••••• • A••••• O••• L••Venture Capital Fund$4,99117Oct 31, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• G••••• · Chairman/Directorcontrol
        since 11/1989 · owns 50% to 75%
      • N•••••• J••••• G• · President/Treasurer/Clerk/Chief Compliance Officercontrol
        since 11/1989 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · unset to 7
        Sep 19, 2016 to Oct 31, 2016
      • Employees · 4 to 2
        Sep 6, 2016 to Sep 19, 2016
      • Accounts · 120 to 98
        Mar 15, 2016 to Jul 14, 2016
      • Assets in custody · $46.3M to $80.2M
        Mar 15, 2016 to Jul 14, 2016
      • Discretionary RAUM · $83.2M to $79.5M
        Mar 15, 2016 to Jul 14, 2016
      • Non-discretionary RAUM · $41.5M to $644,131
        Mar 15, 2016 to Jul 14, 2016
      • RAUM · $125M to $80.2M
        Mar 15, 2016 to Jul 14, 2016
      • Accounts · 149 to 120
        Mar 10, 2015 to Mar 15, 2016
      • Assets in custody · $50.8M to $46.3M
        Mar 10, 2015 to Mar 15, 2016
      • Discretionary RAUM · $94.5M to $83.2M
        Mar 10, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $640M to $41.5M
        Mar 10, 2015 to Mar 15, 2016
      • RAUM · $734M to $125M
        Mar 10, 2015 to Mar 15, 2016
      • Accounts · 164 to 149
        Feb 24, 2014 to Mar 10, 2015
      • Assets in custody · $54.2M to $50.8M
        Feb 24, 2014 to Mar 10, 2015
      • Discretionary RAUM · $101M to $94.5M
        Feb 24, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $629M to $640M
        Feb 24, 2014 to Mar 10, 2015
      • RAUM · $729M to $734M
        Feb 24, 2014 to Mar 10, 2015
      • Accounts · 161 to 164
        Mar 4, 2013 to Feb 24, 2014
      • Assets in custody · $44.8M to $54.2M
        Mar 4, 2013 to Feb 24, 2014
      • Discretionary RAUM · $89.8M to $101M
        Mar 4, 2013 to Feb 24, 2014
      • Non-discretionary RAUM · $610M to $629M
        Mar 4, 2013 to Feb 24, 2014
      • RAUM · $700M to $729M
        Mar 4, 2013 to Feb 24, 2014
      • Advisory employees · unset to 2.0
        Mar 6, 2012 to Mar 4, 2013
      • Assets in custody · $43.5M to $44.8M
        Mar 6, 2012 to Mar 4, 2013
      • Employees · unset to 4.0
        Mar 6, 2012 to Mar 4, 2013
      • Discretionary RAUM · $88.2M to $89.8M
        Mar 6, 2012 to Mar 4, 2013
      • Non-discretionary RAUM · $526M to $610M
        Mar 6, 2012 to Mar 4, 2013
      • RAUM · $615M to $700M
        Mar 6, 2012 to Mar 4, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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