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

P••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserWaltham, MassachusettsCRD 107191SEC 801-27094IAPD
Legal name P••••• F•••••••• A••••••• I••
Latest filing Mar 15, 2013
First filing on the tape Mar 9, 2012 · 2 filings
RAUM
$603M
reported, Item 5.F
Discretionary
77%
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
10
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$603M as of Mar 15, 2013
Mar 9, 2012$570M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2013
Mar 9, 20120 then
Employees (5.A): 10
Private funds: no history
RAUM +5.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2013; 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
$880,961derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
0.0%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
+5.8%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$51.6M, 7 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
685reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$51.6M for 7 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
  • B••••••• W••••••• T••••• · Presidentcontrol
    since 02/1986 · owns 50% to 75%
  • G••••• B•••• C••• · Executive Vice Presidentcontrol
    since 02/1986 · owns 50% to 75%
  • F•••••• I••• · Chief Compliance Officer
    since 09/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 544 to 685
    Mar 9, 2012 to Mar 15, 2013
  • Advisory employees · unset to 6.0
    Mar 9, 2012 to Mar 15, 2013
  • Assets in custody · $41.8M to $51.6M
    Mar 9, 2012 to Mar 15, 2013
  • Employees · unset to 10.0
    Mar 9, 2012 to Mar 15, 2013
  • Discretionary RAUM · $412M to $463M
    Mar 9, 2012 to Mar 15, 2013
  • Non-discretionary RAUM · $159M to $140M
    Mar 9, 2012 to Mar 15, 2013
  • RAUM · $570M to $603M
    Mar 9, 2012 to Mar 15, 2013
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