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

T••••••• W••••• M••••••••• L•••

Former SEC-registered adviserConcord, MassachusettsCRD 108313SEC 801-39460IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 29, 2012 · 26 filings
RAUM
$310M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$280M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$310M as of Mar 26, 2021
Mar 29, 2012$113M then
HNW client RAUM$274M as of Mar 26, 2021
Mar 28, 2018$226M then
State-registered IARs (5.B.3)2 as of Mar 26, 2021
Mar 29, 20120 then
Employees (5.A)6 as of Mar 26, 2021
Mar 23, 20133 then
Private funds1 as of Mar 27, 2017
Mar 14, 20161 then
RAUM +16% over the last fiscal year+5.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$590,543derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$61.2M, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$274M88%
  • Pension and profit-sharing plans$28.5M9.2%
  • Individuals$5.8M1.9%
  • Corporations and businesses$1.5M0.5%
Individual clients
17reported
HNW clients
93reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
525reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$61.2M 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• M••••••• P•••••••• L••no longer reportedPrivate Equity Fund$703,99715Mar 14, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••••• B••••• P•••• · President/Chief Compliance Officercontrol
        since 05/1994 · owns 75% or more
      • R•••••••• A•••••• D••••• · Vice President Of Financial Planning
        since 12/2016 · owns less than 5%
      • T•••••••• M•••••••• M••••••• · Director
        since 12/2016 · 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 · 501 to 525
        Sep 25, 2020 to Mar 26, 2021
      • Advisory activities · 5 to 3
        Sep 25, 2020 to Mar 26, 2021
      • HNW clients · 92 to 93
        Sep 25, 2020 to Mar 26, 2021
      • Individual clients · 18 to 17
        Sep 25, 2020 to Mar 26, 2021
      • Assets in custody · $1.2M to $61.2M
        Sep 25, 2020 to Mar 26, 2021
      • Financial planning clients · 101-250 to 51-100
        Sep 25, 2020 to Mar 26, 2021
      • Discretionary RAUM · $265M to $308M
        Sep 25, 2020 to Mar 26, 2021
      • HNW RAUM · $231M to $274M
        Sep 25, 2020 to Mar 26, 2021
      • Individual RAUM · $5.7M to $5.8M
        Sep 25, 2020 to Mar 26, 2021
      • Non-discretionary RAUM · $3.0M to $1.6M
        Sep 25, 2020 to Mar 26, 2021
      • Pension RAUM · $29.7M to $28.5M
        Sep 25, 2020 to Mar 26, 2021
      • RAUM · $268M to $310M
        Sep 25, 2020 to Mar 26, 2021
      • Accounts · 523 to 501
        Nov 14, 2019 to Mar 16, 2020
      • HNW clients · 93 to 92
        Nov 14, 2019 to Mar 16, 2020
      • Individual clients · 14 to 18
        Nov 14, 2019 to Mar 16, 2020
      • Pension plan clients · 9 to 6
        Nov 14, 2019 to Mar 16, 2020
      • Assets in custody · $243,085 to $1.2M
        Nov 14, 2019 to Mar 16, 2020
      • Discretionary RAUM · $264M to $265M
        Nov 14, 2019 to Mar 16, 2020
      • HNW RAUM · $231M to $231M
        Nov 14, 2019 to Mar 16, 2020
      • Individual RAUM · $5.0M to $5.7M
        Nov 14, 2019 to Mar 16, 2020
      • Non-discretionary RAUM · $2.6M to $3.0M
        Nov 14, 2019 to Mar 16, 2020
      • Pension RAUM · $29.6M to $29.7M
        Nov 14, 2019 to Mar 16, 2020
      • RAUM · $267M to $268M
        Nov 14, 2019 to Mar 16, 2020
      • Accounts · 507 to 523
        Oct 29, 2018 to Mar 18, 2019
      • HNW clients · 82 to 93
        Oct 29, 2018 to Mar 18, 2019
      • Individual clients · 25 to 14
        Oct 29, 2018 to Mar 18, 2019
      • Pension plan clients · 7 to 9
        Oct 29, 2018 to Mar 18, 2019
      • Assets in custody · $10.9M to $243,085
        Oct 29, 2018 to Mar 18, 2019
      • Financial planning clients · 51-100 to 101-250
        Oct 29, 2018 to Mar 18, 2019
      • Discretionary RAUM · $263M to $264M
        Oct 29, 2018 to Mar 18, 2019
      • HNW RAUM · $226M to $231M
        Oct 29, 2018 to Mar 18, 2019
      • Individual RAUM · $8.3M to $5.0M
        Oct 29, 2018 to Mar 18, 2019
      • Non-discretionary RAUM · $2.8M to $2.6M
        Oct 29, 2018 to Mar 18, 2019
      • Pension RAUM · $29.1M to $29.6M
        Oct 29, 2018 to Mar 18, 2019
      • RAUM · $265M to $267M
        Oct 29, 2018 to Mar 18, 2019
      • Accounts · 456 to 507
        Sep 1, 2017 to Mar 28, 2018
      • Advisory employees · 3 to 2
        Sep 1, 2017 to Mar 28, 2018
      • HNW clients · unset to 82.0
        Sep 1, 2017 to Mar 28, 2018
      • Individual clients · unset to 25.0
        Sep 1, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 7.0
        Sep 1, 2017 to Mar 28, 2018
      Signals
      4 dated events
      • A••••• R••••••• left T••••••• W••••• M••••••••• L••• for H•••••••• A•••••••• L•• (registered 2022-01-19)
        Jan 17, 2022 · Advisor changed firm · fact
      • P•••• S••••••• left T••••••• W••••• M••••••••• L••• for H•••••••• A•••••••• L•• (registered 2022-01-19)
        Jan 17, 2022 · Advisor changed firm · fact
      • B•••• P•••• T••••••• left T••••••• W••••• M••••••••• L••• for H•••••••• A•••••••• L•• (registered 2022-02-13)
        Jan 17, 2022 · Advisor changed firm · fact
      • T••••••• W••••• M••••••••• L•••'s advisors moved to H•••••••• A•••••••• L•• (Concord, MA): 3 of 3 registered, on the same day
        Jan 17, 2022 · Firm absorbed (people side) · derived
      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