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

A••••• W••••• M••••••••• I•••

Former SEC-registered adviserWaltham, MassachusettsCRD 107358SEC 801-44739IAPD
Latest filing Jan 9, 2014
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
81%
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
21
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.0M gross assets
History
10 filings and snapshots on the tape
RAUM$608M as of Mar 19, 2013
Mar 29, 2012$547M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 10
Private funds1 as of Mar 19, 2013
Mar 29, 20121 then
RAUM +127% over the last fiscal year
Practice profile
derived from the filing of Jan 9, 2014; every figure names its basis
RAUM per advisor
$207MderivedRAUM 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
$620,064derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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
$109M, 87 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)
  • 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2,006reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$109M for 87 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
Left, latest
none on the tape
    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
      • B••••••• W••••••• T••••• · Managing Directorcontrol
        since 02/1986 · owns 25% to 50%
      • D••••••••• D••••• M•••••• · Presidentcontrol
        since 12/1992 · owns 75% or more
      • F•••• J•••••• E••••• · Director, Business Development
        since 07/2010 · owns less than 5%
      • F•••••• I••• · Business Manager
        since 09/2005 · owns less than 5%
      • G••••• B•••• C••• · Managing Director
        since 02/1986 · owns less than 5%
      • J•••••• J•••••• J•• · Chief Investment Officer
        since 04/2006 · owns less than 5%
      • K•••• R••••••• D••••• · Chief Compliance Officer
        since 10/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · WESTON to WALTHAM
        Jan 8, 2014 to Jan 9, 2014
      • Related adviser · false to true
        Dec 10, 2013 to Jan 8, 2014
      • Accounts · 1,066 to 2,006
        Sep 30, 2013 to Dec 10, 2013
      • Advisory employees · 6 to 12
        Sep 30, 2013 to Dec 10, 2013
      • Assets in custody · $32.0M to $109M
        Sep 30, 2013 to Dec 10, 2013
      • Employees · 10 to 21
        Sep 30, 2013 to Dec 10, 2013
      • Financial planning clients · 51-100 to 101-250
        Sep 30, 2013 to Dec 10, 2013
      • State-registered IARs · 5 to 6
        Sep 30, 2013 to Dec 10, 2013
      • Discretionary RAUM · $519M to $1.0B
        Sep 30, 2013 to Dec 10, 2013
      • Non-discretionary RAUM · $88.7M to $238M
        Sep 30, 2013 to Dec 10, 2013
      • RAUM · $608M to $1.2B
        Sep 30, 2013 to Dec 10, 2013
      • Succession · false to true
        Sep 30, 2013 to Dec 10, 2013
      • Succession · true to false
        Dec 10, 2013 to Dec 10, 2013
      • Private funds · 1 to 2
        Mar 19, 2013 to Aug 12, 2013
      • Accounts · 1,270 to 1,066
        Nov 1, 2012 to Mar 19, 2013
      • Advisory activities · 4 to 3
        Nov 1, 2012 to Mar 19, 2013
      • Assets in custody · $31.0M to $32.0M
        Nov 1, 2012 to Mar 19, 2013
      • State-registered IARs · 4 to 5
        Nov 1, 2012 to Mar 19, 2013
      • Discretionary RAUM · $547M to $519M
        Nov 1, 2012 to Mar 19, 2013
      • Non-discretionary RAUM · $0 to $88.7M
        Nov 1, 2012 to Mar 19, 2013
      • RAUM · $547M to $608M
        Nov 1, 2012 to Mar 19, 2013
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Nov 1, 2012
      • Employees · unset to 10.0
        Mar 29, 2012 to Nov 1, 2012
      • State-registered IARs · unset to 4.0
        Mar 29, 2012 to Nov 1, 2012
      Signals
      1 dated events
      • A••••• W••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 10, 2013 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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