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

F••••••• I••••••••• M•••• M••••••••• I•••

Former SEC-registered adviserBoston, MassachusettsCRD 108252SEC 801-34590IAPD
Latest filing Dec 16, 2019
First filing on the tape Mar 28, 2012 · 39 filings
RAUM
$869B
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
179
134 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$869B as of Mar 29, 2019
Mar 28, 2012$602B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20120 then
Employees (5.A)179 as of Mar 29, 2019
Mar 27, 2013238 then
Private funds: no history
RAUM +16% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 16, 2019; 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
$5.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$837B96%
  • Pooled investment vehicles$22B2.5%
  • Other investment advisers$9.4B1.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
167reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      • D••••••••• A•••••• E••••• J• · Executive Vice Presidentcontrol
        since 06/2016 · owns less than 5%
      • G•••••••• L•••• M•••••• · Chief Operating Officercontrol
        since 06/2016 · owns less than 5%
      • M••••••• K••••• M•••••• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • N•••• S••••••• C•••••• · Head Of Asset Management, Directorcontrol
        since 12/2018 · owns less than 5%
      • P••••• N••••• D•••• · President Fixed Income, Directorcontrol
        since 03/2014 · owns less than 5%
      • R•••••• C••••••••• J••• · Head Of Asset Management Finance, Treasurercontrol
        since 09/2018 · owns less than 5%
      • C•••••• J••••• C•••••• · Elected M••••••control
        since 02/1990 · owns F of F•• L••
      • J•••••• I•• E•••••• C••••• · Elected M••••••control
        since 04/2006 · owns F of F•• L••
      • J••••••• A••••••• P••••••••• · Elected M••••••control
        since 05/1994 · owns F of F•• L••
      • M•••••• G•••••• J••• · Elected M••••••control
        since 10/2014 · owns F of F•• L••
      • R••••••• J•••• J••••• · Elected M••••••control
        since 04/2006 · owns F of F•• L••
      • W•••••• M••••••• E••••• · Elected M••••••control
        since 10/2014 · owns F of F•• L••
      • M•••••• J•• J•••• B•••••• · Compliance Officer
        since 08/2016 · owns less than 5%
      • R••••••• J•••• J••••• · Director
        since 08/2009 · owns less than 5%
      Entity owners
      • F•• L•• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • 4• N•••• R••••••• P••••••• A••••••• L•
        pooled vehicle sponsorn
      • A••••• V••••••• A••••••• I• L•••••• P•••••••••
        pooled vehicle sponsorn
      • A••••• V••••••• A••••••• I••• L•••••• P•••••••••
        pooled vehicle sponsorn
      • A•••••• V••••••• A••••••• V• L•••••• P•••••••••
        pooled vehicle sponsorn
      • B•••••••• I••••••••• A••••••• L••
        investment advisernRAUM $11B
      • E••••• F••••••• I••••••••• L••• I•••••••• C••••••
        real estaten
      • F•••••• C•••••• P••••••• H••••• I• A•• S••••••• A••••••• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I•• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• I••• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• H••••••••• A••••••• F••• V• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• L••• S••••••• A••••••• F••• V• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• T••• A••••••• F••• I• L•
        pooled vehicle sponsorn
      • F•••••• C•••••• P••••••• T••• A••••••• F••• L•
        pooled vehicle sponsorn
      • F••• I•••• F••• G•• L••
        bankpooled vehicle sponsorn
      • F••• I••••••••• F•••• M••••••• L••
        bankpooled vehicle sponsorn
      • F••• L••
        investment adviserbankLP sponsornRAUM $348B
      • F••••••• ••••••• A•••• M••••••••• U••
        investment advisern
      • F••••••• B•••••••• S••••••• L••
        broker-dealern
      • F••••••• B••••••• S••••••• I•••• P•••••• L••••••
        investment advisern
      • F••••••• C••••••• C••••• U••
        broker-dealern
      • F••••••• D••••••••• C•••••••••
        broker-dealern
      • F••••••• I••••••••• A•••• M••••••••• T•••• C••••••
        investment adviserbankLP sponsorn
      • F••••••• I•••••••• A•••••• I•••
        real estaten
      • F••••••• I••••••••• C••••• U••
        investment advisern
      • F••••••• I••••••••• I••••••••• S••••••• C••••••• I•••
        broker-dealern
      • F••••••• I••••••••• L••• I•••••••• C••••••
        real estaten
      • F••••••• M••••••••• • R••••••• ••••••• U••
        investment advisern
      Advisers that list F••••••• I••••••••• M•••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Merrimack, NH134 employees
      What changed
      consecutive filings, newest first
      • Accounts · 149 to 167
        Jan 4, 2019 to Mar 29, 2019
      • Advisory employees · 137 to 134
        Jan 4, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 4 to 3
        Jan 4, 2019 to Mar 29, 2019
      • Employees · 198 to 179
        Jan 4, 2019 to Mar 29, 2019
      • Discretionary RAUM · $746B to $869B
        Jan 4, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $19B to $22B
        Jan 4, 2019 to Mar 29, 2019
      • RAUM · $746B to $869B
        Jan 4, 2019 to Mar 29, 2019
      • Accounts · 140 to 149
        Feb 9, 2018 to Mar 28, 2018
      • Advisory employees · 144 to 137
        Feb 9, 2018 to Mar 28, 2018
      • BD registered reps · 12 to 0
        Feb 9, 2018 to Mar 28, 2018
      • Pooled vehicle clients · 3 to 4
        Feb 9, 2018 to Mar 28, 2018
      • Employees · 208 to 198
        Feb 9, 2018 to Mar 28, 2018
      • Discretionary RAUM · $689B to $746B
        Feb 9, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · $15B to $19B
        Feb 9, 2018 to Mar 28, 2018
      • RAUM · $689B to $746B
        Feb 9, 2018 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 25, 2017 to Feb 9, 2018
      • Other offices · unset to 1.0
        Sep 25, 2017 to Feb 9, 2018
      • Pooled vehicle RAUM · unset to 15260476770.0
        Sep 25, 2017 to Feb 9, 2018
      • Accounts · 124 to 140
        Dec 19, 2016 to Mar 28, 2017
      • Advisory employees · 146 to 144
        Dec 19, 2016 to Mar 28, 2017
      • BD registered reps · 13 to 12
        Dec 19, 2016 to Mar 28, 2017
      • Assets in custody · unset to 0.0
        Dec 19, 2016 to Mar 28, 2017
      • Custody of client assets · false to true
        Dec 19, 2016 to Mar 28, 2017
      • Employees · 213 to 208
        Dec 19, 2016 to Mar 28, 2017
      • Discretionary RAUM · $645B to $689B
        Dec 19, 2016 to Mar 28, 2017
      • RAUM · $645B to $689B
        Dec 19, 2016 to Mar 28, 2017
      • Accounts · 136 to 124
        Oct 7, 2015 to Mar 28, 2016
      • Advisory employees · 148 to 146
        Oct 7, 2015 to Mar 28, 2016
      • BD registered reps · 12 to 13
        Oct 7, 2015 to Mar 28, 2016
      • Employees · 217 to 213
        Oct 7, 2015 to Mar 28, 2016
      • Discretionary RAUM · $606B to $645B
        Oct 7, 2015 to Mar 28, 2016
      • RAUM · $606B to $645B
        Oct 7, 2015 to Mar 28, 2016
      • Accounts · 131 to 136
        Dec 19, 2014 to Mar 27, 2015
      • Advisory employees · 157 to 148
        Dec 19, 2014 to Mar 27, 2015
      • BD registered reps · 9 to 12
        Dec 19, 2014 to Mar 27, 2015
      • Employees · 231 to 217
        Dec 19, 2014 to Mar 27, 2015
      • Discretionary RAUM · $603B to $606B
        Dec 19, 2014 to Mar 27, 2015
      • RAUM · $603B to $606B
        Dec 19, 2014 to Mar 27, 2015
      • Accounts · 127 to 131
        Jan 3, 2014 to Mar 25, 2014
      • Advisory employees · 159 to 157
        Jan 3, 2014 to Mar 25, 2014
      Signals
      2 dated events
      • Sumner Charles Morrison (President Asset Management, Director) no longer on Schedule A of F••••••• I••••••••• M•••• M••••••••• I••• (listed 2018-10-29, absent 2019-01-04)
        Jan 4, 2019 · Control person left · inference
      • Charles Stephen Neff (Head Of Asset Management, Director) appeared on Schedule A of F••••••• I••••••••• M•••• M••••••••• I•••
        Jan 4, 2019 · Control person joined · fact
      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