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
R••••••• C•••••• M••••••••• L••
Latest filing Jan 19, 2023
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$69.1M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$68.7M gross assets
History
15 filings and snapshots on the tape
RAUM$203M as of Mar 9, 2022
Mar 29, 2012$621M then
HNW client RAUM$0 as of Mar 9, 2022
Mar 13, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 9, 2022
Mar 29, 20120 then
Employees (5.A)7 as of Mar 9, 2022
Mar 26, 20138 then
Private funds2 as of Mar 9, 2022
Mar 29, 20121 then
RAUM -62% over the last fiscal year-41% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of Jan 19, 2023; 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
- $69.1MderivedRAUM 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
- unknownderived1 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 assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $69.1M, 1 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
- 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)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.1M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• M•••• C•• F••• L••• | Other Private Fund | $68.7M | 24 | Mar 29, 2012 |
| R••••••• S•••• C•• F•••• L••• | Other Private Fund | $45.6M | 13 | Mar 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S••••••••• P••••• C••••••• · Managing Principalcontrolsince 01/1999 · owns 25% to 50%
- G••••••• J••• E•••••• H••• · Principalsince 01/1999 · owns 10% to 25%
- N••••••• N•••••• C••••• · Principalsince 04/2000 · owns 25% to 50%
- S•••••••• D•••••• J• · Principalsince 04/2000 · owns 25% to 50%
Related persons
Schedule D 7.A
- R••••••• I••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 1Oct 20, 2022 to Jan 19, 2023
- Advisory employees · 5 to 4Oct 20, 2022 to Jan 19, 2023
- Advisory activities · 3 to 1Oct 20, 2022 to Jan 19, 2023
- Pooled vehicle clients · 3 to 0Oct 20, 2022 to Jan 19, 2023
- Assets in custody · $126M to $69.1MOct 20, 2022 to Jan 19, 2023
- Employees · 7 to 4Oct 20, 2022 to Jan 19, 2023
- Other offices · 2 to 0Oct 20, 2022 to Jan 19, 2023
- Private funds · 2 to 1Oct 20, 2022 to Jan 19, 2023
- Discretionary RAUM · $203M to $69.1MOct 20, 2022 to Jan 19, 2023
- Pooled vehicle RAUM · 175212681.0 to unsetOct 20, 2022 to Jan 19, 2023
- RAUM · $203M to $69.1MOct 20, 2022 to Jan 19, 2023
- HQ city · BOSTON to unsetMar 9, 2022 to Oct 20, 2022
- HQ state · MA to unsetMar 9, 2022 to Oct 20, 2022
- Advisory employees · 6 to 5Mar 2, 2021 to Mar 9, 2022
- Assets in custody · $113M to $126MMar 2, 2021 to Mar 9, 2022
- Employees · 8 to 7Mar 2, 2021 to Mar 9, 2022
- Discretionary RAUM · $183M to $203MMar 2, 2021 to Mar 9, 2022
- Pooled vehicle RAUM · $159M to $175MMar 2, 2021 to Mar 9, 2022
- RAUM · $183M to $203MMar 2, 2021 to Mar 9, 2022
- Accounts · 8 to 5Mar 19, 2020 to Mar 2, 2021
- Assets in custody · $133M to $113MMar 19, 2020 to Mar 2, 2021
- Discretionary RAUM · $275M to $183MMar 19, 2020 to Mar 2, 2021
- Pension RAUM · 21500584.0 to unsetMar 19, 2020 to Mar 2, 2021
- Pooled vehicle RAUM · $179M to $159MMar 19, 2020 to Mar 2, 2021
- RAUM · $275M to $183MMar 19, 2020 to Mar 2, 2021
- Accounts · 13 to 8Mar 6, 2019 to Mar 19, 2020
- Advisory employees · 5 to 6Mar 6, 2019 to Mar 19, 2020
- Advisory activities · 4 to 3Mar 6, 2019 to Mar 19, 2020
- Pooled vehicle clients · 4 to 3Mar 6, 2019 to Mar 19, 2020
- Assets in custody · $108M to $133MMar 6, 2019 to Mar 19, 2020
- Employees · 7 to 8Mar 6, 2019 to Mar 19, 2020
- Discretionary RAUM · $330M to $275MMar 6, 2019 to Mar 19, 2020
- Pension RAUM · $30.7M to $21.5MMar 6, 2019 to Mar 19, 2020
- Pooled vehicle RAUM · $209M to $179MMar 6, 2019 to Mar 19, 2020
- RAUM · $330M to $275MMar 6, 2019 to Mar 19, 2020
- Advisory employees · 6 to 5Mar 13, 2018 to Mar 6, 2019
- Assets in custody · $147M to $108MMar 13, 2018 to Mar 6, 2019
- Employees · 8 to 7Mar 13, 2018 to Mar 6, 2019
- Discretionary RAUM · $475M to $330MMar 13, 2018 to Mar 6, 2019
- Pension RAUM · $49.6M to $30.7MMar 13, 2018 to Mar 6, 2019
Signals
3 dated events
- R••••••• C•••••• M••••••••• L•• reported RAUM $69.1M, down 66% from $203.3M (2022-10-20 to 2023-01-19)Jan 19, 2023 · RAUM change · derived
- R••••••• C•••••• M••••••••• L•• reported RAUM $329.7M, down 31% from $475.0M (2018-03-13 to 2019-03-06)Mar 6, 2019 · RAUM change · derived
- R••••••• C•••••• M••••••••• L•• reported RAUM $475.0M, down 26% from $637.8M (2017-03-29 to 2018-03-13)Mar 13, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
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