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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 106561SEC 801-48186IAPD
Latest filing May 20, 2020
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$134,827 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$231M gross assets
History
28 filings and snapshots on the tape
RAUM$2.1B as of Mar 30, 2020
Mar 30, 2012$5.0B then
HNW client RAUM$134,827 as of Mar 30, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 22, 20130 then
Employees (5.A)19 as of Mar 30, 2020
Mar 22, 201328 then
Private funds1 as of Mar 30, 2020
Mar 30, 20122 then
RAUM -26% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2020; 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
unknownderivedHNW RAUM over HNW clients
Average account
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-26%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Investment companies$1.0B50%
  • Corporations and businesses$703M33%
  • Pooled investment vehicles$231M11%
  • Other investment advisers$55.9M2.7%
  • Pension and profit-sharing plans$43.2M2.1%
  • Charitable organizations$22.3M1.1%
  • High-net-worth individuals$134,8270.0%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• G••••• E••••• F••• L•••Hedge Fund$231M3Jul 18, 2017
      I•••••••• B••••• S•••••• G••••• S•••• F•••• L•no longer reportedOther Private Fund$3.7M10Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• R•••••• L•••••• · Managing Directorcontrol
        since 01/2006 · owns less than 5%
      • G•••••••• R•••••• E••••• · Managing Directorcontrol
        since 10/2014 · owns less than 5%
      • S•••••••• M••••••• J••• · Managing Director, Chief Executive Officercontrol
        since 01/1999 · owns less than 5%
      • V•••• K•••••••• A•• · Chief Compliance Officercontrol
        since 04/2017 · owns less than 5%
      • D••••• J••••• P••• · Managing Director
        since 10/2014 · owns less than 5%
      Entity owners
      • P•••••• G••••• A•••• M••••••••• L•• · Managing Member
        direct · owns 75% or more
      • P•••••• L••• I•••••••• C•••••• · Managing Member
        indirect · owns 75% or more of P•••••• G••••• A•••• M••••••••• L••
      • P•••••• L••••••• · Parent
        indirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
      • P•••••• M••••• H•••••• C•••••• · Parent
        indirect · owns 75% or more of P•••••• L•••••••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Other offices · 2 to 1
        Apr 1, 2020 to May 20, 2020
      • Accounts · 20 to 21
        Mar 28, 2019 to Mar 30, 2020
      • Advisory activities · 4 to 3
        Mar 28, 2019 to Mar 30, 2020
      • HNW clients · 0.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · 0.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Custody of client assets · true to false
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 18 to 19
        Mar 28, 2019 to Mar 30, 2020
      • Other offices · 1 to 2
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $2.9B to $2.1B
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $101,558 to $134,827
        Mar 28, 2019 to Mar 30, 2020
      • Pension RAUM · $12.2M to $43.2M
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $153M to $231M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $2.9B to $2.1B
        Mar 28, 2019 to Mar 30, 2020
      • Accounts · 27 to 20
        Apr 25, 2018 to Mar 28, 2019
      • Charity clients · 2.0 to unset
        Apr 25, 2018 to Mar 28, 2019
      • Corporate clients · 1.0 to unset
        Apr 25, 2018 to Mar 28, 2019
      • Pension plan clients · 1.0 to unset
        Apr 25, 2018 to Mar 28, 2019
      • Discretionary RAUM · $4.3B to $2.9B
        Apr 25, 2018 to Mar 28, 2019
      • HNW RAUM · $0 to $101,558
        Apr 25, 2018 to Mar 28, 2019
      • Pension RAUM · $13.0M to $12.2M
        Apr 25, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $176M to $153M
        Apr 25, 2018 to Mar 28, 2019
      • RAUM · $4.3B to $2.9B
        Apr 25, 2018 to Mar 28, 2019
      • Accounts · 34 to 27
        Sep 8, 2017 to Mar 29, 2018
      • BD registered reps · 0 to 2
        Sep 8, 2017 to Mar 29, 2018
      • Charity clients · unset to 2.0
        Sep 8, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Sep 8, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Sep 8, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Sep 8, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Sep 8, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Sep 8, 2017 to Mar 29, 2018
      • Employees · 17 to 18
        Sep 8, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Sep 8, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.8B to $4.3B
        Sep 8, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Sep 8, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Sep 8, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 13039065.0
        Sep 8, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 176243251.0
        Sep 8, 2017 to Mar 29, 2018
      • RAUM · $3.8B to $4.3B
        Sep 8, 2017 to Mar 29, 2018
      • Accounts · 36 to 34
        Jul 18, 2017 to Sep 8, 2017
      • Private funds · 2 to 1
        Jul 18, 2017 to Sep 8, 2017
      Signals
      2 dated events
      • C•••••• C•••••• M••••••••• L•• reported RAUM $2.1B, down 26% from $2.9B (2019-03-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • C•••••• C•••••• M••••••••• L•• reported RAUM $2.9B, down 33% from $4.3B (2018-04-25 to 2019-03-28)
        Mar 28, 2019 · RAUM change · 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