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••••••••• I••

Former SEC-registered adviserProvidence, Rhode IslandCRD 107002SEC 801-38720IAPD
Latest filing Apr 17, 2023
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$202M as of Mar 31, 2023
Mar 28, 2012$214M then
HNW client RAUM$168M as of Mar 31, 2023
Mar 27, 2018$254M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 21, 20130 then
Employees (5.A)2 as of Mar 31, 2023
Mar 21, 20134 then
Private funds: no history
RAUM -60% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 2023; 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
$2.1MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.7%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
-60%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-50%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$17.2M, 149 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$168M84%
  • Individuals$19.2M9.5%
  • Pension and profit-sharing plans$10.7M5.3%
  • Charitable organizations$2.8M1.4%
  • Corporations and businesses$596,0590.3%
Individual clients
63reported
HNW clients
81reported
Pension plan clients
6reported
Charitable clients
2reported
Accounts
153reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$17.2M for 149 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
  • K••••••• G•••••• F•••••••• · President, Chief Compliance Officercontrol
    since 05/1991 · owns 75% or more
  • P•••••• S••• · Vice President
    since 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Providence, Ri · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 482 to 153
    Jul 21, 2022 to Mar 31, 2023
  • Charity clients · 5 to 2
    Jul 21, 2022 to Mar 31, 2023
  • HNW clients · 167 to 81
    Jul 21, 2022 to Mar 31, 2023
  • Individual clients · 119 to 63
    Jul 21, 2022 to Mar 31, 2023
  • Pension plan clients · 5 to 6
    Jul 21, 2022 to Mar 31, 2023
  • Assets in custody · $45.6M to $17.2M
    Jul 21, 2022 to Mar 31, 2023
  • Employees · 3 to 2
    Jul 21, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 0 to 1
    Jul 21, 2022 to Mar 31, 2023
  • Discretionary RAUM · $500M to $202M
    Jul 21, 2022 to Mar 31, 2023
  • HNW RAUM · $423M to $168M
    Jul 21, 2022 to Mar 31, 2023
  • Individual RAUM · $40.9M to $19.2M
    Jul 21, 2022 to Mar 31, 2023
  • Pension RAUM · $13.2M to $10.7M
    Jul 21, 2022 to Mar 31, 2023
  • RAUM · $500M to $202M
    Jul 21, 2022 to Mar 31, 2023
  • Accounts · 461 to 482
    Mar 23, 2021 to Mar 31, 2022
  • Advisory employees · 2 to 1
    Mar 23, 2021 to Mar 31, 2022
  • Charity clients · 4 to 5
    Mar 23, 2021 to Mar 31, 2022
  • HNW clients · 134 to 167
    Mar 23, 2021 to Mar 31, 2022
  • Individual clients · 139 to 119
    Mar 23, 2021 to Mar 31, 2022
  • Pension plan clients · 4 to 5
    Mar 23, 2021 to Mar 31, 2022
  • Assets in custody · $45.1M to $45.6M
    Mar 23, 2021 to Mar 31, 2022
  • Employees · 4 to 3
    Mar 23, 2021 to Mar 31, 2022
  • Discretionary RAUM · $397M to $500M
    Mar 23, 2021 to Mar 31, 2022
  • HNW RAUM · $336M to $423M
    Mar 23, 2021 to Mar 31, 2022
  • Individual RAUM · $44.0M to $40.9M
    Mar 23, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $14.2M to $0
    Mar 23, 2021 to Mar 31, 2022
  • Pension RAUM · $10.1M to $13.2M
    Mar 23, 2021 to Mar 31, 2022
  • RAUM · $411M to $500M
    Mar 23, 2021 to Mar 31, 2022
  • Accounts · 469 to 461
    May 19, 2020 to Mar 23, 2021
  • HNW clients · 82 to 134
    May 19, 2020 to Mar 23, 2021
  • Individual clients · 127 to 139
    May 19, 2020 to Mar 23, 2021
  • Pension plan clients · 5 to 4
    May 19, 2020 to Mar 23, 2021
  • Assets in custody · unset to 45131080.0
    May 19, 2020 to Mar 23, 2021
  • Custody of client assets · false to true
    May 19, 2020 to Mar 23, 2021
  • Discretionary RAUM · $359M to $397M
    May 19, 2020 to Mar 23, 2021
  • HNW RAUM · $297M to $336M
    May 19, 2020 to Mar 23, 2021
  • Individual RAUM · $46.4M to $44.0M
    May 19, 2020 to Mar 23, 2021
  • Non-discretionary RAUM · $15.5M to $14.2M
    May 19, 2020 to Mar 23, 2021
  • Pension RAUM · $11.8M to $10.1M
    May 19, 2020 to Mar 23, 2021
  • RAUM · $374M to $411M
    May 19, 2020 to Mar 23, 2021
  • HNW clients · 76 to 82
    Mar 20, 2019 to Mar 23, 2020
Signals
4 dated events
  • G••••• F• K•••••• left C•••••• C•••••• M••••••••• I•• for W•••• I••••••••• A•••••••• L•• (registered 2023-01-17)
    Oct 24, 2023 · Advisor changed firm · fact
  • C•••••• C•••••• M••••••••• I•• reported RAUM $201.7M, down 60% from $500.1M (2022-07-21 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • C•••••• C•••••• M••••••••• I•• reported RAUM $323.9M, down 35% from $498.6M (2018-03-27 to 2019-03-20)
    Mar 20, 2019 · RAUM change · derived
  • C•••••• C•••••• M••••••••• I•• reported RAUM $498.6M, up 75% from $285.7M (2017-03-17 to 2018-03-27)
    Mar 27, 2018 · 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