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.

Former SEC-registered adviser

The Boston Company Asset Management LLC

Former SEC-registered adviserBoston, MassachusettsCRD 105616SEC 801-6829IAPD
Latest filing Nov 15, 2017
First filing on the tape Dec 19, 2011 · 25 filings
RAUM
$20B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$4.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
149
81 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
$198M gross assets
History
25 filings and snapshots on the tape
RAUM$20B as of Mar 30, 2017
Mar 30, 2012$19B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Apr 1, 20130 then
Employees (5.A)149 as of Mar 30, 2017
Apr 1, 2013238 then
Private funds5 as of Mar 30, 2017
Mar 30, 20126 then
RAUM +9.0% over the last fiscal year-5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 15, 2017; 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
$145,802derivedHNW RAUM over HNW clients
Average account
$98.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+9.0%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 fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$198M, 5 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$6.5B32%
  • State and municipal entities$4.5B22%
  • Pension and profit-sharing plans$4.0B20%
  • Pooled investment vehicles$2.8B14%
  • Sovereign wealth funds$1.5B7.6%
  • Insurance companies$485M2.4%
  • Corporations and businesses$469M2.3%
  • High-net-worth individuals$4.7M0.0%
Individual clients
0reported
HNW clients
32reported
Pension plan clients
60reported
Charitable clients
0reported
Accounts
207reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $4.7M managedreported
Custody of client assets
$198M for 5 clientsreported
Compensation
% of AUM, fixed, performancereported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Harborwalk Global Allocation Idf, LPno longer reportedHedge Fund$13.9M2May 19, 2014
      Harborwalk Event Driven Master Fund, LPno longer reportedHedge Fund$12.5M14Feb 23, 2015
      Harborwalk Mlp Fund, LPHedge Fund$11.0M13Feb 23, 2015
      The Boston Company Multi-Alpha Market Neutral Equity Fund LPno longer reportedHedge Fund$10.8M5Mar 30, 2012
      The Boston Company T.M.T. Alpha Opportunities Fund LPno longer reportedHedge Fund$9.3M14Mar 30, 2012
      Harborwalk Global Healthcare Master Fund Ltd.no longer reportedHedge Fund$8.1M7May 24, 2013
      The Boston Company Discovery Fund LPno longer reportedHedge Fund$3.3M4Mar 30, 2012
      The Boston Company Microcap Portfoliono longer reportedHedge Fund$1.9M3Mar 30, 2012
      Harborwalk Global Independence Fund LPHedge Fund$1.8M2Aug 19, 2015
      The Boston Company Equity Market Neutral Master Portfoliono longer reportedOther Private Fund$297,4395Jun 29, 2012
      The Boston Company Microcap Portfolio LPno longer reportedHedge Fund$17,5048Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Allan Gregory Brisk · Managercontrol
        since 07/2016 · owns less than 5%
      • Jennifer Cassedy · Chief Compliance Officer & Chief Administrative Officercontrol
        since 06/2000 · owns less than 5%
      • Antonio David Daglio · Managercontrol
        since 03/2015 · owns less than 5%
      • Patrick Joseph Gennaco · Managercontrol
        since 02/2008 · owns less than 5%
      • Anthony Michael Germano · Managercontrol
        since 10/2017 · owns less than 5%
      • Brett Adam Joffe · Chairman & Chief Executive Officer, Managercontrol
        since 10/2014 · owns less than 5%
      • Homer Edward Ladd · Managercontrol
        since 07/2003 · owns less than 5%
      • C David Leduc · Managercontrol
        since 10/2017 · owns less than 5%
      • William Jamie Lewin · Managercontrol
        since 10/2017 · owns less than 5%
      • Tung Linda Lillard · Managercontrol
        since 10/2017 · owns less than 5%
      • Thomas Loeb · Managercontrol
        since 10/2017 · owns less than 5%
      • Desmond James Mac Intyre · Managercontrol
        since 07/2017 · owns less than 5%
      • John Matthew Oomen · Managercontrol
        since 10/2017 · owns less than 5%
      • Brian Alexander Over · Managercontrol
        since 10/2017 · owns less than 5%
      • Franco Gabriela Parcella · Managercontrol
        since 10/2017 · owns less than 5%
      • Jianfeng Jeff Zhang · Managercontrol
        since 10/2017 · owns less than 5%
      Entity owners
      • Mbc Investments Corporation · Sole Member
        direct · owns 75% or more
      • Bny Mellon Ihc, LLC · Sole Owner
        indirect · owns 75% or more of Mbc Investments Corporation
      • The Bank Of New York Mellon Corporation · Shareholder
        indirect · owns 75% or more of Mbc Investments Corporation · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list The Boston Company Asset Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Denver, CO2 employees
      • Greenwich, CT1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 206 to 207
        Aug 11, 2017 to Nov 15, 2017
      • Charity clients · unset to 0.0
        Aug 11, 2017 to Nov 15, 2017
      • Corporate clients · unset to 18.0
        Aug 11, 2017 to Nov 15, 2017
      • HNW clients · unset to 32.0
        Aug 11, 2017 to Nov 15, 2017
      • Individual clients · unset to 0.0
        Aug 11, 2017 to Nov 15, 2017
      • Pension plan clients · unset to 60.0
        Aug 11, 2017 to Nov 15, 2017
      • Pooled vehicle clients · unset to 27.0
        Aug 11, 2017 to Nov 15, 2017
      • Other offices · unset to 2.0
        Aug 11, 2017 to Nov 15, 2017
      • HNW RAUM · unset to 4665661.0
        Aug 11, 2017 to Nov 15, 2017
      • Individual RAUM · unset to 0.0
        Aug 11, 2017 to Nov 15, 2017
      • Pension RAUM · unset to 3976761761.0
        Aug 11, 2017 to Nov 15, 2017
      • Pooled vehicle RAUM · unset to 2838462424.0
        Aug 11, 2017 to Nov 15, 2017
      • Wrap assets (manager) · unset to 4665661.0
        Aug 11, 2017 to Nov 15, 2017
      • Wrap assets (sponsor) · unset to 0.0
        Aug 11, 2017 to Nov 15, 2017
      • Accounts · 222 to 206
        Jan 19, 2017 to Mar 30, 2017
      • Advisory employees · 84 to 81
        Jan 19, 2017 to Mar 30, 2017
      • BD registered reps · 12 to 14
        Jan 19, 2017 to Mar 30, 2017
      • Assets in custody · $110M to $198M
        Jan 19, 2017 to Mar 30, 2017
      • Employees · 158 to 149
        Jan 19, 2017 to Mar 30, 2017
      • Private funds · 6 to 5
        Jan 19, 2017 to Mar 30, 2017
      • Discretionary RAUM · $19B to $20B
        Jan 19, 2017 to Mar 30, 2017
      • Non-discretionary RAUM · $9.8M to $14.7M
        Jan 19, 2017 to Mar 30, 2017
      • RAUM · $19B to $20B
        Jan 19, 2017 to Mar 30, 2017
      • Accounts · 221 to 222
        Mar 30, 2016 to Aug 26, 2016
      • Non-discretionary RAUM · $0 to $9.8M
        Mar 30, 2016 to Aug 26, 2016
      • RAUM · $19B to $19B
        Mar 30, 2016 to Aug 26, 2016
      • Accounts · 193 to 221
        Nov 30, 2015 to Mar 30, 2016
      • Advisory employees · 74 to 84
        Nov 30, 2015 to Mar 30, 2016
      • BD registered reps · 18 to 12
        Nov 30, 2015 to Mar 30, 2016
      • Assets in custody · $124M to $110M
        Nov 30, 2015 to Mar 30, 2016
      • Employees · 157 to 158
        Nov 30, 2015 to Mar 30, 2016
      • Private funds · 7 to 6
        Nov 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $26B to $19B
        Nov 30, 2015 to Mar 30, 2016
      • RAUM · $26B to $19B
        Nov 30, 2015 to Mar 30, 2016
      • Private funds · 6 to 7
        Mar 31, 2015 to Aug 19, 2015
      • Accounts · 180 to 193
        Feb 23, 2015 to Mar 31, 2015
      • Advisory employees · 75 to 74
        Feb 23, 2015 to Mar 31, 2015
      • Assets in custody · $109M to $124M
        Feb 23, 2015 to Mar 31, 2015
      • Employees · 210 to 157
        Feb 23, 2015 to Mar 31, 2015
      • Private funds · 7 to 6
        Feb 23, 2015 to Mar 31, 2015
      Signals
      No event on the tape.
      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