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

U•••••• R••• E••••• A•••••••• I•••

Former SEC-registered adviserUnion Grove, WisconsinCRD 105949SEC 801-24133IAPD
Latest filing Mar 20, 2020
First filing on the tape Jan 26, 2012 · 17 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 20, 2020
Jan 26, 2012$132M then
HNW client RAUM$0 as of Mar 20, 2020
Mar 23, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 20, 2020
Jan 26, 20120 then
Employees (5.A)11 as of Mar 20, 2020
Mar 25, 201314 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 20, 2020; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
1.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • I••••••••• R••••••• P••• · Chairman, Treasurer,Director, Chief Investment Officercontrol
    since 02/2018 · owns less than 5%
  • J•••••••• M•••• B••• · Vice President, Secretary And Director Of Compliance And Reporting; Chief Compliance Officercontrol
    since 08/2014 · owns less than 5%
  • J••••••• K•••• H••••• · President And Chief Executive Officercontrol
    since 02/2018 · owns less than 5%
Entity owners
  • U•••••• I••••••••• C••••••• I••• · Owner Of 100% Of Capital Stock
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Hingham, MA1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Wrap assets (manager) · 0.0 to unset
    Mar 28, 2018 to Mar 26, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 28, 2018 to Mar 26, 2019
  • Advisory employees · 1 to 10
    Mar 30, 2017 to Mar 23, 2018
  • Charity clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Corporate clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • HNW clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Individual clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Pension plan clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Employees · 1 to 11
    Mar 30, 2017 to Mar 23, 2018
  • Insurance-licensed employees · 1 to 4
    Mar 30, 2017 to Mar 23, 2018
  • State-registered IARs · 1 to 4
    Mar 30, 2017 to Mar 23, 2018
  • Other offices · unset to 3.0
    Mar 30, 2017 to Mar 23, 2018
  • HNW RAUM · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Individual RAUM · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Pension RAUM · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 30, 2017 to Mar 23, 2018
  • Accounts · 3,137 to 0
    Feb 28, 2017 to Mar 30, 2017
  • Discretionary RAUM · $1.6B to $0
    Feb 28, 2017 to Mar 30, 2017
  • Non-discretionary RAUM · $389M to $0
    Feb 28, 2017 to Mar 30, 2017
  • RAUM · $1.9B to $0
    Feb 28, 2017 to Mar 30, 2017
  • Accounts · 3,205 to 3,137
    Mar 22, 2016 to Feb 28, 2017
  • Discretionary RAUM · $1.4B to $1.6B
    Mar 22, 2016 to Feb 28, 2017
  • Non-discretionary RAUM · $587M to $389M
    Mar 22, 2016 to Feb 28, 2017
  • RAUM · $2.0B to $1.9B
    Mar 22, 2016 to Feb 28, 2017
  • Accounts · 3,383 to 3,205
    Mar 27, 2015 to Mar 22, 2016
  • Discretionary RAUM · $1.4B to $1.4B
    Mar 27, 2015 to Mar 22, 2016
  • Non-discretionary RAUM · $597M to $587M
    Mar 27, 2015 to Mar 22, 2016
  • RAUM · $2.0B to $2.0B
    Mar 27, 2015 to Mar 22, 2016
  • Accounts · 3,279 to 3,383
    Mar 20, 2014 to Mar 27, 2015
  • Discretionary RAUM · $1.1B to $1.4B
    Mar 20, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $464M to $597M
    Mar 20, 2014 to Mar 27, 2015
  • RAUM · $1.6B to $2.0B
    Mar 20, 2014 to Mar 27, 2015
  • Accounts · 3,064 to 3,279
    Aug 15, 2013 to Mar 20, 2014
  • Advisory employees · 6 to 1
    Aug 15, 2013 to Mar 20, 2014
  • Employees · 14 to 1
    Aug 15, 2013 to Mar 20, 2014
  • Insurance-licensed employees · 4 to 1
    Aug 15, 2013 to Mar 20, 2014
  • State-registered IARs · 4 to 1
    Aug 15, 2013 to Mar 20, 2014
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