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

F•••••• S••••• A••••••• I••

Former SEC-registered adviserBoston, MassachusettsCRD 106387SEC 801-39247IAPD
Latest filing May 13, 2015
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$3.8B
reported, Item 5.F
Discretionary
7.8%
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
32
25 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.6B as of Mar 27, 2015
Mar 28, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 27, 2015
Mar 28, 20120 then
Employees (5.A)32 as of Mar 27, 2015
Mar 26, 201324 then
Private funds: no history
RAUM +7.3% over the last fiscal year+7.6% a year over threeIARs 5 to 9
Practice profile
derived from the filing of May 13, 2015; every figure names its basis
RAUM per advisor
$420MderivedRAUM 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
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.8%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.6derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.7%derivedbetween the last two annual amendments
Advisor growth, one year
+80%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$29.9M, 2 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
  • 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
1,454reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$29.9M for 2 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••••• M•••••• J••••••• · Presidentcontrol
    since 09/2014 · owns less than 5%
  • F•••••• K••••••• L••• · Ciocontrol
    since 01/2013 · owns less than 5%
  • G••••• E•••• J•••• · Coo And Chief Wealth Advisory Officercontrol
    since 09/2014 · owns less than 5%
  • L•••••• J••••• L• · Directorcontrol
    since 01/2004 · owns less than 5%
  • L•••••• J•••• R••••• · Director, Chairmancontrol
    since 05/1991 · owns 75% or more
  • T••••••• R••••••• M•••• · Chief Compliance Officer, Directorcontrol
    since 09/2004 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list F•••••• S••••• A••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,521 to 1,454
    Mar 27, 2015 to May 13, 2015
  • Discretionary RAUM · $97.4M to $297M
    Mar 27, 2015 to May 13, 2015
  • Non-discretionary RAUM · $3.5B to $3.5B
    Mar 27, 2015 to May 13, 2015
  • RAUM · $3.6B to $3.8B
    Mar 27, 2015 to May 13, 2015
  • Accounts · 1,351 to 1,521
    Sep 2, 2014 to Mar 27, 2015
  • Advisory employees · 15 to 25
    Sep 2, 2014 to Mar 27, 2015
  • Assets in custody · $7.5M to $29.9M
    Sep 2, 2014 to Mar 27, 2015
  • Employees · 26 to 32
    Sep 2, 2014 to Mar 27, 2015
  • Insurance-licensed employees · 2 to 4
    Sep 2, 2014 to Mar 27, 2015
  • Financial planning clients · 26-50 to 11-25
    Sep 2, 2014 to Mar 27, 2015
  • State-registered IARs · 5 to 9
    Sep 2, 2014 to Mar 27, 2015
  • Discretionary RAUM · $52.5M to $97.4M
    Sep 2, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $3.5B to $3.5B
    Sep 2, 2014 to Mar 27, 2015
  • RAUM · $3.5B to $3.6B
    Sep 2, 2014 to Mar 27, 2015
  • Accounts · 1,497 to 1,351
    Dec 4, 2013 to Mar 26, 2014
  • Advisory employees · 14 to 15
    Dec 4, 2013 to Mar 26, 2014
  • Assets in custody · $26.5M to $7.5M
    Dec 4, 2013 to Mar 26, 2014
  • Employees · 24 to 26
    Dec 4, 2013 to Mar 26, 2014
  • Discretionary RAUM · $0 to $52.5M
    Dec 4, 2013 to Mar 26, 2014
  • Non-discretionary RAUM · $3.2B to $3.5B
    Dec 4, 2013 to Mar 26, 2014
  • RAUM · $3.2B to $3.5B
    Dec 4, 2013 to Mar 26, 2014
  • Accounts · 1,506 to 1,497
    Jan 23, 2013 to Mar 26, 2013
  • Advisory employees · 11 to 14
    Jan 23, 2013 to Mar 26, 2013
  • Assets in custody · $25.2M to $26.5M
    Jan 23, 2013 to Mar 26, 2013
  • Insurance-licensed employees · 0 to 2
    Jan 23, 2013 to Mar 26, 2013
  • State-registered IARs · 4 to 5
    Jan 23, 2013 to Mar 26, 2013
  • Non-discretionary RAUM · $3.0B to $3.2B
    Jan 23, 2013 to Mar 26, 2013
  • RAUM · $3.0B to $3.2B
    Jan 23, 2013 to Mar 26, 2013
  • Advisory employees · unset to 11.0
    Aug 22, 2012 to Jan 23, 2013
  • Employees · unset to 24.0
    Aug 22, 2012 to Jan 23, 2013
  • State-registered IARs · 0 to 4
    Aug 22, 2012 to Jan 23, 2013
  • Assets in custody · $57.9M to $25.2M
    Jul 5, 2012 to Aug 22, 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