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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SEC-registered adviser
F••••••• C•••••• M••••••••• C• L••
Latest filing Sep 1, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jan 14, 1981
RAUM
$9.6B
reported, Item 5.F
Discretionary
100%
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
38
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$9.6B as of Mar 31, 2026
Mar 30, 2012$9.0B then
HNW client RAUM$23.2M as of Mar 30, 2020
Mar 28, 2018$26.7M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)38 as of Mar 31, 2026
Apr 1, 201339 then
Private funds5 as of Mar 31, 2026
Mar 30, 20126 then
RAUM -10% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $174MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 62%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
- -10%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, 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
- Custody
- $446M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$3.9B41%
- Investment companies$2.5B26%
- Pension and profit-sharing plans$1.6B17%
- Pooled investment vehicles$706M7.4%
- Corporations and businesses$481M5.0%
- Sovereign wealth funds$239M2.5%
- Charitable organizations$99.0M1.0%
- Other investment advisers$22.9M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $446M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.33 institutional_share=0.62 related_bd=true related_bank=true bd_reps=0.0derived
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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• S•••• C•• V•••• F•••• L• | Other Private Fund | $172M | 33 | Mar 30, 2012 |
| F••••••• S•••• C•• G••••• F•••• L• | Other Private Fund | $124M | 20 | Mar 30, 2012 |
| F••••••• C•••••• A••••••••• F•••• L• | Other Private Fund | $114M | 18 | Mar 30, 2012 |
| F••••••• M•• C•• G••••• F•••• L• | Other Private Fund | $108M | 24 | Mar 30, 2012 |
| F••••••• F•••• F•••• L• | Other Private Fund | $16.5M | 21 | Mar 30, 2012 |
| F••••••• M•• C•• V•••• F•••• L•no longer reported | Other Private Fund | $4.0M | 23 | Mar 31, 2014 |
| F••••••• A•• C•• R••••••• F•••• L•no longer reported | Other Private Fund | $2.3M | 8 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••••• P••••••• · Controllercontrolsince 03/2019 · owns less than 5%
- J••••••••• S••••• J••• · Chief Operating Officer/Managing Partnercontrolsince 06/1996 · owns less than 5%
- P•••• R•••••• E• · Chief Compliance Officer And General Counselcontrolsince 08/2019 · owns less than 5%
- T•••••••• W••••••• A•••• · Managing Partnercontrolsince 09/1992 · owns less than 5%
Entity owners
- A••••••••• M••••••• G••••• I••• · Manager Memberindirect · owns 75% or more of A•• F••• H•••••••• L•• · public reporting company
- A•• F••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of F••• H••••••• L••
- F••• H••••••• L•• · Manager Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• F•••• L••investment adviserbankpooled vehicle sponsornRAUM $18B
Advisers that list F••••••• C•••••• M••••••••• C• L•• as a related person
- 153456 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 48.0% to 67.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $5B to $20B (134)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 1, 2026
- Private funds · 5 to unsetMar 31, 2026 to Sep 1, 2026
- Succession · false to unsetMar 31, 2026 to Sep 1, 2026
- Accounts · 59 to 55Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 20 to 19Mar 31, 2025 to Mar 31, 2026
- Charity clients · 6.0 to unsetMar 31, 2025 to Mar 31, 2026
- Assets in custody · $459M to $446MMar 31, 2025 to Mar 31, 2026
- Employees · 39 to 38Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $11B to $9.6BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $710M to $1.6BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $728M to $706MMar 31, 2025 to Mar 31, 2026
- RAUM · $11B to $9.6BMar 31, 2025 to Mar 31, 2026
- Corporate clients · 5.0 to unsetMar 28, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 9Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 7Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $534M to $459MMar 28, 2024 to Mar 31, 2025
- Employees · 41 to 39Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $10B to $11BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $653M to $710MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $534M to $728MMar 28, 2024 to Mar 31, 2025
- RAUM · $10B to $11BMar 28, 2024 to Mar 31, 2025
- Accounts · 63 to 59Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 19 to 20Mar 31, 2023 to Mar 28, 2024
- Charity clients · 8 to 6Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 9 to 8Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $476M to $534MMar 31, 2023 to Mar 28, 2024
- Employees · 40 to 41Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $9.3B to $10BMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $663M to $653MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $476M to $534MMar 31, 2023 to Mar 28, 2024
- RAUM · $9.3B to $10BMar 31, 2023 to Mar 28, 2024
- Corporate clients · 6 to 5Mar 30, 2022 to Mar 31, 2023
- Pension plan clients · 8 to 9Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $563M to $476MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $13B to $9.3BMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $695M to $663MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $563M to $476MMar 30, 2022 to Mar 31, 2023
- RAUM · $13B to $9.3BMar 30, 2022 to Mar 31, 2023
- Accounts · 56 to 63Mar 31, 2021 to Mar 30, 2022
Signals
11 dated events
- F••••••• C•••••• M••••••••• C• L•• reported RAUM $9.3B, down 27% from $12.8B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Anthony Michael Cavarretta (Chairman) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Michael Stephen Knightly (President/Mgmt. Cmte. Member) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2019-08-08, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- John William Ballou (Chief Compliance Officer And General Counsel) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2019-04-17, absent 2019-08-08)Aug 8, 2019 · Control person left · inference
- Allen William Teichner (Executive Vice President/Mgmt. Cmte. Member) appeared on Schedule A of F••••••• C•••••• M••••••••• C• L••Aug 8, 2019 · Control person joined · fact
- E Robert Phay (Chief Compliance Officer And General Counsel) appeared on Schedule A of F••••••• C•••••• M••••••••• C• L••Aug 8, 2019 · Control person joined · fact
- William Thomas Duncan (Director Of Research / Mgmt. Cmte. Member) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2019-04-17, absent 2019-08-08)Aug 8, 2019 · Control person left · inference
- John William Ballou (Chief Compliance Officer And General Counsel) appeared on Schedule A of F••••••• C•••••• M••••••••• C• L••Apr 17, 2019 · Control person joined · fact
- Julianne Hull (Chief Compliance Officer And General Counsel) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2019-03-28, absent 2019-04-17)Apr 17, 2019 · Control person left · inference
- Howard Richard Binder (Senior Vp/Cfo) no longer on Schedule A of F••••••• C•••••• M••••••••• C• L•• (listed 2018-10-15, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Patricia Jillian Berggren (Chief Financial Officer) appeared on Schedule A of F••••••• C•••••• M••••••••• C• L••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F••••••• C•••••• M••••••••• C• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/frontier-capital-management-co/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F•••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 261-0777reportedpublic record, Form ADV, Sep 1, 2026
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
- Other 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