DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

H•••••• J••••• M••••••••• C• I••

Former SEC-registered adviserFormer SEC adviser· Quincy, Massachusetts

Former SEC-registered adviser, based in Quincy, Massachusetts, reporting $95.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$95.1M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+5.5%
Form ADV, consecutive annual filings
Private clients
35% of RAUM, $33.6M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 2.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 106099 · SEC 801-14071 · 13 filingsShow
CRD 106099SEC 801-14071First filing on the tape Mar 20, 2012, latest Feb 21, 2024SEC status approved since Sep 13, 1978IAPD
RAUM
$95.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
35%
$33.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$95.1M as of Feb 21, 2024
Mar 20, 2012$602M then
HNW client RAUM$33.6M as of Feb 21, 2024
Mar 20, 2018$103M then
State-registered IARs (5.B.3)0 as of Feb 21, 2024
Mar 20, 20120 then
Employees (5.A)7 as of Feb 21, 2024
Feb 22, 201314 then
Private funds1 as of Mar 1, 2023
Mar 20, 20124 then
RAUM +5.5% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2024; 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
$2.8MderivedHNW RAUM over HNW clients
Average account
$5.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
65%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
+5.5%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, otherreportedItem 5.E
Advisory activities
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
  • Pension and profit-sharing plans$37.7M40%
  • High-net-worth individuals$33.6M35%
  • Charitable organizations$23.8M25%
Individual clients
n/areported
HNW clients
12reported
Pension plan clients
2reported
Charitable clients
3reported
Accounts
17reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• H••••••• J•••• F••• L•••••• P•••••••••no longer reportedHedge Fund$106M2Mar 20, 2012
      T•• J• F••• L•••••• P•••••••••no longer reportedHedge Fund$22.5M8Mar 20, 2012
      H••••••• J••••• P•••••• I••••••• L•••••• P•••••••••no longer reportedHedge Fund$8.8M8Mar 20, 2012
      L••••••••• M••••••••• I• L•••••• P•••••••••Hedge Fund$1.4M1Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• N••••••• · Senior Vice Presidentcontrol
        since 08/2004 · owns less than 5%
      • J•••••• G•••••• R• · Chairmancontrol
        since 02/2005 · owns less than 5%
      • J•••••• G•••••• R••• · Presidentcontrol
        since 02/2005 · owns less than 5%
      • L••••• S•••• · Vice President/ Chief Compliance Officer
        since 12/2011 · owns less than 5%
      Entity owners
      • J••••• C•••••• M••••••••• I••• · Owner
        direct · owns 75% or more
      • J••••• C•••••• M••••••••• I••• · Owner
        indirect · owns 75% or more of J••••• C•••••• M••••••••• I•••
      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
      • Accounts · 16 to 17
        Mar 1, 2023 to Feb 21, 2024
      • HNW clients · 11 to 12
        Mar 1, 2023 to Feb 21, 2024
      • Pension plan clients · 1 to 2
        Mar 1, 2023 to Feb 21, 2024
      • Pooled vehicle clients · 1.0 to unset
        Mar 1, 2023 to Feb 21, 2024
      • Private funds · 1 to unset
        Mar 1, 2023 to Feb 21, 2024
      • Discretionary RAUM · $90.2M to $95.1M
        Mar 1, 2023 to Feb 21, 2024
      • HNW RAUM · $31.7M to $33.6M
        Mar 1, 2023 to Feb 21, 2024
      • Pension RAUM · $33.0M to $37.7M
        Mar 1, 2023 to Feb 21, 2024
      • Pooled vehicle RAUM · 1377000.0 to unset
        Mar 1, 2023 to Feb 21, 2024
      • RAUM · $90.2M to $95.1M
        Mar 1, 2023 to Feb 21, 2024
      • Accounts · 21 to 16
        Mar 8, 2022 to Mar 1, 2023
      • HNW clients · 15 to 11
        Mar 8, 2022 to Mar 1, 2023
      • Pension plan clients · 2 to 1
        Mar 8, 2022 to Mar 1, 2023
      • Discretionary RAUM · $113M to $90.2M
        Mar 8, 2022 to Mar 1, 2023
      • HNW RAUM · $50.9M to $31.7M
        Mar 8, 2022 to Mar 1, 2023
      • Pension RAUM · $33.4M to $33.0M
        Mar 8, 2022 to Mar 1, 2023
      • Pooled vehicle RAUM · $1.6M to $1.4M
        Mar 8, 2022 to Mar 1, 2023
      • RAUM · $113M to $90.2M
        Mar 8, 2022 to Mar 1, 2023
      • Accounts · 13 to 21
        Mar 30, 2021 to Mar 8, 2022
      • Advisory employees · 5 to 4
        Mar 30, 2021 to Mar 8, 2022
      • Charity clients · 1 to 3
        Mar 30, 2021 to Mar 8, 2022
      • HNW clients · 9 to 15
        Mar 30, 2021 to Mar 8, 2022
      • Assets in custody · 19333686.0 to unset
        Mar 30, 2021 to Mar 8, 2022
      • Custody of client assets · true to false
        Mar 30, 2021 to Mar 8, 2022
      • Employees · 8 to 7
        Mar 30, 2021 to Mar 8, 2022
      • Discretionary RAUM · $135M to $113M
        Mar 30, 2021 to Mar 8, 2022
      • HNW RAUM · $32.4M to $50.9M
        Mar 30, 2021 to Mar 8, 2022
      • Pension RAUM · $78.6M to $33.4M
        Mar 30, 2021 to Mar 8, 2022
      • Pooled vehicle RAUM · $1.9M to $1.6M
        Mar 30, 2021 to Mar 8, 2022
      • RAUM · $135M to $113M
        Mar 30, 2021 to Mar 8, 2022
      • Accounts · 11 to 13
        Feb 25, 2020 to Mar 30, 2021
      • Advisory employees · 6 to 5
        Feb 25, 2020 to Mar 30, 2021
      • Advisory activities · 2 to 1
        Feb 25, 2020 to Mar 30, 2021
      • HNW clients · 6 to 9
        Feb 25, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 2 to 1
        Feb 25, 2020 to Mar 30, 2021
      • Assets in custody · $24.7M to $19.3M
        Feb 25, 2020 to Mar 30, 2021
      • Employees · 9 to 8
        Feb 25, 2020 to Mar 30, 2021
      • HQ city · BOSTON to QUINCY
        Feb 25, 2020 to Mar 30, 2021
      • Private funds · 2 to 1
        Feb 25, 2020 to Mar 30, 2021
      • Discretionary RAUM · $155M to $135M
        Feb 25, 2020 to Mar 30, 2021
      Signals
      1 dated events
      • ••• Locked
        Mar 6, 2025 · Left the SEC roster · derived
      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