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

R••• F•••••••• A••••••• I••

Former SEC-registered adviserAndover, MassachusettsCRD 106834SEC 801-43386IAPD
Latest filing Mar 26, 2020
First filing on the tape Feb 28, 2012 · 20 filings
RAUM
$29.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$29.0M as of Mar 26, 2020
Feb 28, 2012$140M then
HNW client RAUM$18.0M as of Mar 26, 2020
Mar 30, 2018$110M then
State-registered IARs (5.B.3)1 as of Mar 26, 2020
Feb 28, 20120 then
Employees (5.A)1 as of Mar 26, 2020
Mar 20, 20136 then
Private funds: no history
RAUM -85% over the last fiscal year-45% a year over threeIARs 4 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$29.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$707,317derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-85%derivedbetween the last two annual amendments
Advisor growth, one year
-75%derivedItem 5.B.3 between annual amendments
Client growth, one year
-88%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$18.0M62%
  • Individuals$11.0M38%
Individual clients
30reported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
26-50reported
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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• W••••••• T••••• · Chief Compliance Officercontrol
        since 01/2020 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 359 to 41
        Jan 30, 2020 to Mar 26, 2020
      • Advisory employees · 4 to 1
        Jan 30, 2020 to Mar 26, 2020
      • BD registered reps · 4 to 1
        Jan 30, 2020 to Mar 26, 2020
      • HNW clients · 57 to 11
        Jan 30, 2020 to Mar 26, 2020
      • Individual clients · 272 to 30
        Jan 30, 2020 to Mar 26, 2020
      • Pension plan clients · 8.0 to unset
        Jan 30, 2020 to Mar 26, 2020
      • Employees · 5 to 1
        Jan 30, 2020 to Mar 26, 2020
      • State-registered IARs · 4 to 1
        Jan 30, 2020 to Mar 26, 2020
      • Other offices · 1 to 0
        Jan 30, 2020 to Mar 26, 2020
      • Discretionary RAUM · $191M to $29.0M
        Jan 30, 2020 to Mar 26, 2020
      • HNW RAUM · $90.6M to $18.0M
        Jan 30, 2020 to Mar 26, 2020
      • Individual RAUM · $83.8M to $11.0M
        Jan 30, 2020 to Mar 26, 2020
      • Pension RAUM · 10803173.0 to unset
        Jan 30, 2020 to Mar 26, 2020
      • Pooled vehicle RAUM · 0.0 to unset
        Jan 30, 2020 to Mar 26, 2020
      • RAUM · $191M to $29.0M
        Jan 30, 2020 to Mar 26, 2020
      • Accounts · 262 to 359
        Sep 7, 2018 to Apr 1, 2019
      • Advisory employees · 5 to 4
        Sep 7, 2018 to Apr 1, 2019
      • Advisory activities · 3 to 4
        Sep 7, 2018 to Apr 1, 2019
      • HNW clients · 60 to 57
        Sep 7, 2018 to Apr 1, 2019
      • Individual clients · 201 to 272
        Sep 7, 2018 to Apr 1, 2019
      • Pension plan clients · unset to 8.0
        Sep 7, 2018 to Apr 1, 2019
      • Employees · 6 to 5
        Sep 7, 2018 to Apr 1, 2019
      • Discretionary RAUM · $189M to $191M
        Sep 7, 2018 to Apr 1, 2019
      • HNW RAUM · $110M to $90.6M
        Sep 7, 2018 to Apr 1, 2019
      • Individual RAUM · $78.2M to $83.8M
        Sep 7, 2018 to Apr 1, 2019
      • Pension RAUM · $0 to $10.8M
        Sep 7, 2018 to Apr 1, 2019
      • RAUM · $189M to $191M
        Sep 7, 2018 to Apr 1, 2019
      • Accounts · 993 to 262
        Mar 13, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 5
        Mar 13, 2017 to Mar 30, 2018
      • HNW clients · unset to 60.0
        Mar 13, 2017 to Mar 30, 2018
      • Individual clients · unset to 201.0
        Mar 13, 2017 to Mar 30, 2018
      • Assets in custody · 7013910.0 to unset
        Mar 13, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Mar 13, 2017 to Mar 30, 2018
      • Employees · 5 to 6
        Mar 13, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 13, 2017 to Mar 30, 2018
      • Discretionary RAUM · $173M to $189M
        Mar 13, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 110248917.0
        Mar 13, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 78201688.0
        Mar 13, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 13, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 13, 2017 to Mar 30, 2018
      Signals
      4 dated events
      • R••• F•••••••• A••••••• I•• reported RAUM $29.0M, down 85% from $191.4M (2020-01-30 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      • Colleen Tara Mcdermott (Vice President) no longer on Schedule A of R••• F•••••••• A••••••• I•• (listed 2019-04-01, absent 2020-01-13)
        Jan 13, 2020 · Control person left · inference
      • Ryan Heather Girolamo (Vice President, Chief Compliance Officer) no longer on Schedule A of R••• F•••••••• A••••••• I•• (listed 2019-04-01, absent 2020-01-13)
        Jan 13, 2020 · Control person left · inference
      • Kent William Ryan (Vice President) no longer on Schedule A of R••• F•••••••• A••••••• I•• (listed 2019-04-01, absent 2020-01-13)
        Jan 13, 2020 · Control person left · inference
      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