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

N•••••• C•••••• A••••••• L••

Former SEC-registered adviserNorth Quincy, MassachusettsCRD 106241SEC 801-49110IAPD
Latest filing Jun 7, 2016
First filing on the tape Mar 15, 2012 · 10 filings
RAUM
$53.8M
reported, Item 5.F
Discretionary
19%
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
1
$8.0M gross assets
History
10 filings and snapshots on the tape
RAUM$71.4M as of Mar 29, 2016
Mar 15, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2016
Mar 15, 20120 then
Employees (5.A)3 as of Mar 29, 2016
Mar 8, 20133 then
Private funds1 as of Mar 29, 2016
Mar 15, 20121 then
RAUM -54% over the last fiscal year-22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 7, 2016; every figure names its basis
RAUM per advisor
$26.9MderivedRAUM 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
$9.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
19%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween 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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
V•••••• R••• D••••••••• P•••••••• L•••Hedge Fund$8.0M5Mar 15, 2012
Owners and control persons
Schedule A and B, latest filing
  • P•••••••• A•••••• D•••• · Managing Member, Chief Compliance Officercontrol
    since 04/1995 · owns 75% or more
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 · 12 to 6
    Mar 29, 2016 to May 9, 2016
  • Business name · N•••••• C•••••• A••••••• I•• to N•••••• C•••••• A••••••• L••
    Mar 29, 2016 to May 9, 2016
  • Legal name · N•••••• C•••••• A••••••• I•• to N•••••• C•••••• A••••••• L••
    Mar 29, 2016 to May 9, 2016
  • Discretionary RAUM · $27.8M to $10.1M
    Mar 29, 2016 to May 9, 2016
  • Non-discretionary RAUM · $43.6M to $43.7M
    Mar 29, 2016 to May 9, 2016
  • RAUM · $71.4M to $53.8M
    Mar 29, 2016 to May 9, 2016
  • Succession · true to false
    Mar 29, 2016 to May 9, 2016
  • Accounts · 7 to 12
    Jul 1, 2015 to Mar 29, 2016
  • Advisory employees · 2 to 3
    Jul 1, 2015 to Mar 29, 2016
  • Employees · 2 to 3
    Jul 1, 2015 to Mar 29, 2016
  • Organization form · Corporation to Limited Liability Company
    Jul 1, 2015 to Mar 29, 2016
  • Discretionary RAUM · $32.4M to $27.8M
    Jul 1, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $84.9M to $43.6M
    Jul 1, 2015 to Mar 29, 2016
  • RAUM · $117M to $71.4M
    Jul 1, 2015 to Mar 29, 2016
  • Succession · false to true
    Jul 1, 2015 to Mar 29, 2016
  • Accounts · 9 to 7
    Mar 19, 2014 to Feb 23, 2015
  • Employees · 3 to 2
    Mar 19, 2014 to Feb 23, 2015
  • Discretionary RAUM · $36.6M to $32.4M
    Mar 19, 2014 to Feb 23, 2015
  • Non-discretionary RAUM · $80.3M to $84.9M
    Mar 19, 2014 to Feb 23, 2015
  • RAUM · $117M to $117M
    Mar 19, 2014 to Feb 23, 2015
  • Accounts · 15 to 9
    May 30, 2013 to Mar 19, 2014
  • Advisory activities · 5 to 6
    May 30, 2013 to Mar 19, 2014
  • Discretionary RAUM · $44.4M to $36.6M
    May 30, 2013 to Mar 19, 2014
  • Non-discretionary RAUM · $70.3M to $80.3M
    May 30, 2013 to Mar 19, 2014
  • RAUM · $115M to $117M
    May 30, 2013 to Mar 19, 2014
  • Related adviser · true to false
    May 30, 2013 to Mar 19, 2014
  • Advisory employees · unset to 2.0
    Mar 15, 2012 to Mar 8, 2013
  • Employees · unset to 3.0
    Mar 15, 2012 to Mar 8, 2013
  • State-registered IARs · 0 to 2
    Mar 15, 2012 to Mar 8, 2013
  • Discretionary RAUM · $37.3M to $44.4M
    Mar 15, 2012 to Mar 8, 2013
  • Non-discretionary RAUM · $65.8M to $70.3M
    Mar 15, 2012 to Mar 8, 2013
  • RAUM · $103M to $115M
    Mar 15, 2012 to Mar 8, 2013
  • Related adviser · false to true
    Mar 15, 2012 to Mar 8, 2013
Signals
1 dated events
  • N•••••• C•••••• A••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 29, 2016 · Succession (Item 4) · fact
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