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

D•••• M•••••• K••

Former SEC-registered adviserMarion, MassachusettsCRD 107215SEC 801-48864IAPD
Latest filing Apr 1, 2014
First filing on the tape Mar 15, 2012 · 3 filings
RAUM
$119M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$119M as of Apr 1, 2014
Mar 15, 2012$92.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2014
Mar 15, 20120 then
Employees (5.A)1 as of Apr 1, 2014
Apr 4, 20131 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2014; every figure names its basis
RAUM per advisor
$119MderivedRAUM 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
$942,891derivedRAUM 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
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
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
126reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• M•••••• · Sole Proprietor/Chief Compliance Officercontrol
      since 01/1985 · owns 75% or more
    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 · 123 to 126
      Apr 4, 2013 to Apr 1, 2014
    • Discretionary RAUM · $101M to $119M
      Apr 4, 2013 to Apr 1, 2014
    • RAUM · $101M to $119M
      Apr 4, 2013 to Apr 1, 2014
    • Accounts · 129 to 123
      Mar 15, 2012 to Apr 4, 2013
    • Advisory employees · unset to 1.0
      Mar 15, 2012 to Apr 4, 2013
    • Employees · unset to 1.0
      Mar 15, 2012 to Apr 4, 2013
    • State-registered IARs · 0 to 1
      Mar 15, 2012 to Apr 4, 2013
    • Discretionary RAUM · $92.3M to $101M
      Mar 15, 2012 to Apr 4, 2013
    • Non-discretionary RAUM · $544,000 to $0
      Mar 15, 2012 to Apr 4, 2013
    • RAUM · $92.8M to $101M
      Mar 15, 2012 to Apr 4, 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