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

Declaration Management & Research LLC

Former SEC-registered adviserBoston, MassachusettsCRD 105930SEC 801-35030IAPD
Latest filing Mar 29, 2016
First filing on the tape Dec 14, 2011 · 17 filings
RAUM
$4.7B
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$693M gross assets
History
17 filings and snapshots on the tape
RAUM$4.7B as of Mar 29, 2016
Mar 29, 2012$9.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 29, 20120 then
Employees (5.A)3 as of Mar 29, 2016
Apr 1, 201331 then
Private funds8 as of Mar 29, 2016
Mar 29, 201211 then
RAUM -15% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$158MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-15%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$454M, 1 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)
  • 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)
  • 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
30reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$454M for 1 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Independence III Cdo, Ltd.no longer reportedSecuritized Asset Fund$97.7M25Mar 29, 2012
      Independence II Cdo, Ltd.no longer reportedSecuritized Asset Fund$82.4M25Mar 29, 2012
      Independence Vi Cdo, Ltd.Securitized Asset Fund$67.0M34Mar 29, 2012
      Independence I Cdo, LtdSecuritized Asset Fund$33.7M25Mar 29, 2012
      Infiniti Spc Limited, Acting For The Account Of Potomac Synthetic Cdo 2007-1 Segregated PortfolioSecuritized Asset Fund$18.4M3Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Paul Christopher Conkey · Directorcontrol
        since 03/2013 · owns less than 5%
      • Russell Howard Cronson · Chief Financial Officercontrol
        since 05/2014 · owns less than 5%
      • Martin Paul Donahue · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • Hart Barry Evans · Presidentcontrol
        since 11/2008 · owns less than 5%
      • Marie Carolyn Flanagan · General Counselcontrol
        since 06/2013 · owns less than 5%
      • Robin Diane Landers · Chief Operating Officercontrol
        since 06/2012 · owns less than 5%
      • Joseph Frank Saeli · Directorcontrol
        since 11/2011 · owns less than 5%
      Entity owners
      • John Hancock Subsidiaries LLC · Member
        direct · owns 75% or more
      • John Hancock Financial Corporation · Shareholder
        indirect · owns 75% or more of The Manufacturers Investment Corporation
      • John Hancock Life Insurance Company (U.S.A.) · Member
        indirect · owns 75% or more of John Hancock Subsidiaries LLC
      • Manulife Financial Corporation · Shareholder
        indirect · owns 75% or more of Manufacturers Life Insurance Company · public reporting company
      • Manulife Holdings (Alberta) Limited · Member
        indirect · owns 75% or more of John Hancock Financial Corporation
      • The Manufacturers Investment Corporation · Shareholder
        indirect · owns 75% or more of John Hancock Life Insurance Company (U.S.A.)
      • The Manufacturers Life Insurance Company · Shareholder
        indirect · owns 75% or more of Manulife Holdings (Alberta) Limited
      Related persons
      Schedule D 7.A
      Advisers that list Declaration Management & Research LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Portsmouth, NH
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 30
        Aug 27, 2015 to Mar 29, 2016
      • Advisory employees · 7 to 3
        Aug 27, 2015 to Mar 29, 2016
      • Assets in custody · $419M to $454M
        Aug 27, 2015 to Mar 29, 2016
      • Employees · 8 to 3
        Aug 27, 2015 to Mar 29, 2016
      • Private funds · 9 to 8
        Aug 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $5.4B to $4.7B
        Aug 27, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $210M to $58.1M
        Aug 27, 2015 to Mar 29, 2016
      • RAUM · $5.6B to $4.7B
        Aug 27, 2015 to Mar 29, 2016
      • Accounts · 37 to 33
        Jan 5, 2015 to Mar 31, 2015
      • Assets in custody · $265M to $419M
        Jan 5, 2015 to Mar 31, 2015
      • Employees · 9 to 8
        Jan 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $5.1B to $5.4B
        Jan 5, 2015 to Mar 31, 2015
      • Non-discretionary RAUM · $258M to $210M
        Jan 5, 2015 to Mar 31, 2015
      • RAUM · $5.3B to $5.6B
        Jan 5, 2015 to Mar 31, 2015
      • Accounts · 41 to 37
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · 25 to 7
        Apr 1, 2013 to Mar 28, 2014
      • BD registered reps · 4 to 0
        Apr 1, 2013 to Mar 28, 2014
      • Assets in custody · $254M to $265M
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 31 to 9
        Apr 1, 2013 to Mar 28, 2014
      • Private funds · 10 to 9
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $6.6B to $5.1B
        Apr 1, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $297M to $258M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $6.9B to $5.3B
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 50 to 41
        Mar 25, 2013 to Apr 1, 2013
      • Advisory employees · 9 to 25
        Mar 25, 2013 to Apr 1, 2013
      • BD registered reps · 2 to 4
        Mar 25, 2013 to Apr 1, 2013
      • Assets in custody · $127M to $254M
        Mar 25, 2013 to Apr 1, 2013
      • Employees · 34 to 31
        Mar 25, 2013 to Apr 1, 2013
      • Private funds · 11 to 10
        Mar 25, 2013 to Apr 1, 2013
      • Discretionary RAUM · $8.7B to $6.6B
        Mar 25, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $396M to $297M
        Mar 25, 2013 to Apr 1, 2013
      • RAUM · $9.1B to $6.9B
        Mar 25, 2013 to Apr 1, 2013
      • Related insurance company · true to false
        Mar 25, 2013 to Apr 1, 2013
      • Advisory employees · unset to 9.0
        Oct 24, 2012 to Mar 7, 2013
      • BD registered reps · unset to 2.0
        Oct 24, 2012 to Mar 7, 2013
      • Employees · unset to 34.0
        Oct 24, 2012 to Mar 7, 2013
      • HQ city · MCLEAN to BOSTON
        May 30, 2012 to Jul 9, 2012
      • HQ state · VA to MA
        May 30, 2012 to Jul 9, 2012
      • Accounts · 51 to 50
        Dec 14, 2011 to Mar 29, 2012
      • Assets in custody · $157M to $127M
        Dec 14, 2011 to Mar 29, 2012
      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