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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SEC-registered adviser
L••••••••• I••••••••• M••••••••• C•• L••
Latest filing Aug 6, 2026
First filing on the tape Mar 28, 2012 · 43 filings
SEC status approved since Jul 21, 1986
RAUM
$23B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$240M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
51
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$23B as of Aug 6, 2026
Mar 28, 2012$4.1B then
HNW client RAUM$240M as of Aug 6, 2026
Mar 29, 2018$215M then
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Mar 28, 20120 then
Employees (5.A)51 as of Aug 6, 2026
Mar 28, 201318 then
Private funds: no history
RAUM +24% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $16.0MderivedHNW RAUM over HNW clients
- Average account
- $122MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 75%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
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$7.2B31%
- State and municipal entities$6.1B26%
- Corporations and businesses$5.1B22%
- Charitable organizations$3.3B14%
- Insurance companies$1.0B4.3%
- Banks and thrifts$327M1.4%
- High-net-worth individuals$240M1.0%
- Investment companies$100M0.4%
- Pooled investment vehicles$3.6M0.0%
- Individual clients
- 0reported
- HNW clients
- 15reported
- Pension plan clients
- 23reported
- Charitable clients
- 43reported
- Accounts
- 192reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $53.9M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.75 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A•••• · Managing Member, Treasurercontrolsince 04/2018 · owns 10% to 25%
- L•••••• M•••• C•••••• · Managing Membercontrolsince 09/2021 · owns less than 5%
- M•••••• M•••••••• L••• · Chief Administrative Officer, Membercontrolsince 11/2021 · owns 5% to 10%
- M••••••• B••••••• J••••• · President, Managing Membercontrolsince 04/2009 · owns 50% to 75%
- N••••• G•••••• W••• · Elected Managercontrolsince 04/2018 · owns less than 5%
- S•••••• D••••• C•••••• · Managing Membercontrolsince 10/2021 · owns 5% to 10%
- T•••••••• N•••••• M•••• · Chief Compliance Officer, General Counsel, Managing Membercontrolsince 04/2024 · owns less than 5%
- A••••• A••••• · Membersince 04/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
- L•• F••• G•• L••pooled vehicle sponsory
Advisers that list L••••••••• I••••••••• M••••••••• C•• L•• as a related person
- 304867 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 187 to 192Jul 2, 2025 to Mar 23, 2026
- Charity clients · 44 to 43Jul 2, 2025 to Mar 23, 2026
- Corporate clients · 41 to 35Jul 2, 2025 to Mar 23, 2026
- HNW clients · 14 to 15Jul 2, 2025 to Mar 23, 2026
- Pension plan clients · 19 to 23Jul 2, 2025 to Mar 23, 2026
- Employees · 55 to 51Jul 2, 2025 to Mar 23, 2026
- Discretionary RAUM · $19B to $23BJul 2, 2025 to Mar 23, 2026
- HNW RAUM · $198M to $240MJul 2, 2025 to Mar 23, 2026
- Pension RAUM · $5.0B to $7.2BJul 2, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $4.1M to $3.6MJul 2, 2025 to Mar 23, 2026
- RAUM · $19B to $23BJul 2, 2025 to Mar 23, 2026
- Wrap assets (manager) · $70.4M to $53.9MJul 2, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Jul 2, 2025
- Accounts · 190 to 187Apr 10, 2024 to Mar 26, 2025
- Advisory employees · 26 to 24Apr 10, 2024 to Mar 26, 2025
- Charity clients · 42 to 44Apr 10, 2024 to Mar 26, 2025
- Corporate clients · 42 to 41Apr 10, 2024 to Mar 26, 2025
- HNW clients · 16 to 14Apr 10, 2024 to Mar 26, 2025
- Pension plan clients · 18 to 19Apr 10, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 1Apr 10, 2024 to Mar 26, 2025
- Employees · 56 to 55Apr 10, 2024 to Mar 26, 2025
- Discretionary RAUM · $17B to $19BApr 10, 2024 to Mar 26, 2025
- HNW RAUM · $186M to $198MApr 10, 2024 to Mar 26, 2025
- Pension RAUM · $4.5B to $5.0BApr 10, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $7.4M to $4.1MApr 10, 2024 to Mar 26, 2025
- RAUM · $17B to $19BApr 10, 2024 to Mar 26, 2025
- Wrap assets (manager) · $91.7M to $70.4MApr 10, 2024 to Mar 26, 2025
- Accounts · 176 to 190Nov 22, 2023 to Mar 19, 2024
- Advisory activities · 4 to 3Nov 22, 2023 to Mar 19, 2024
- Charity clients · 33 to 42Nov 22, 2023 to Mar 19, 2024
- Corporate clients · 26 to 42Nov 22, 2023 to Mar 19, 2024
- HNW clients · 14 to 16Nov 22, 2023 to Mar 19, 2024
- Pension plan clients · 26 to 18Nov 22, 2023 to Mar 19, 2024
- Pooled vehicle clients · 5 to 2Nov 22, 2023 to Mar 19, 2024
- Employees · 51 to 56Nov 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $17B to $17BNov 22, 2023 to Mar 19, 2024
- HNW RAUM · $183M to $186MNov 22, 2023 to Mar 19, 2024
- Pension RAUM · $4.3B to $4.5BNov 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $309M to $7.4MNov 22, 2023 to Mar 19, 2024
- RAUM · $17B to $17BNov 22, 2023 to Mar 19, 2024
Signals
8 dated events
- Joseph Raymond Kubiak (Elected Manager) no longer on Schedule A of L••••••••• I••••••••• M••••••••• C•• L•• (listed 2022-05-05, absent 2022-09-16)Sep 16, 2022 · Control person left · inference
- Marie Nicole Tremblay (Chief Compliance Officer, General Counsel, Elected Manager) appeared on Schedule A of L••••••••• I••••••••• M••••••••• C•• L••Nov 12, 2021 · Control person joined · fact
- Scott Michael Timmermans (Chief Legal Officer) no longer on Schedule A of L••••••••• I••••••••• M••••••••• C•• L•• (listed 2021-03-30, absent 2021-10-06)Oct 6, 2021 · Control person left · inference
- Corinne Mary Larson (Managing Member) appeared on Schedule A of L••••••••• I••••••••• M••••••••• C•• L••Oct 6, 2021 · Control person joined · fact
- Joseph Raymond Kubiak (Elected Member) appeared on Schedule A of L••••••••• I••••••••• M••••••••• C•• L••Oct 6, 2021 · Control person joined · fact
- L••••••••• I••••••••• M••••••••• C•• L•• reported RAUM $14.7B, up 30% from $11.3B (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Webb George Noyes (Elected Manager) appeared on Schedule A of L••••••••• I••••••••• M••••••••• C•• L••Mar 29, 2019 · Control person joined · fact
- Scott Michael Timmermans (Chief Legal Officer) appeared on Schedule A of L••••••••• I••••••••• M••••••••• C•• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-695-3504reportedpublic record, Form ADV, Aug 6, 2026
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
- Institutional managerderiveda 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