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•••••••• M••••••••• A••••••••• L••

Former SEC-registered adviserNorth Andover, MassachusettsCRD 109531SEC 801-58102IAPD
Latest filing Oct 17, 2017
First filing on the tape Feb 9, 2012 · 23 filings
RAUM
$82.6M
reported, Item 5.F
Discretionary
99%
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$82.6M as of Mar 15, 2017
Feb 9, 2012$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 15, 2017
Feb 9, 20120 then
Employees (5.A)5 as of Mar 15, 2017
Mar 7, 20133 then
Private funds: no history
RAUM -12% over the last fiscal year-24% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Oct 17, 2017; every figure names its basis
RAUM per advisor
$41.3MderivedRAUM 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
$209,052derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 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 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
395reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• A•••• P•••• · Member And Chief Compliance Officercontrol
      since 12/1999 · owns 50% to 75%
    • M•••••• J••••• M••• · Membercontrol
      since 12/1999 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list F•••••••• M••••••••• A••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Duxbury, MA1 employees
    What changed
    consecutive filings, newest first
    • Other offices · unset to 1.0
      Aug 21, 2017 to Oct 17, 2017
    • Accounts · 444 to 395
      Jan 5, 2017 to Mar 15, 2017
    • Discretionary RAUM · $93.0M to $81.7M
      Jan 5, 2017 to Mar 15, 2017
    • Non-discretionary RAUM · $787,848 to $859,116
      Jan 5, 2017 to Mar 15, 2017
    • RAUM · $93.8M to $82.6M
      Jan 5, 2017 to Mar 15, 2017
    • Advisory employees · 1 to 2
      Feb 23, 2016 to Jun 15, 2016
    • Employees · 3 to 5
      Feb 23, 2016 to Jun 15, 2016
    • Insurance-licensed employees · 0 to 1
      Feb 23, 2016 to Jun 15, 2016
    • HQ city · DUXBURY to NORTH ANDOVER
      Feb 23, 2016 to Jun 15, 2016
    • State-registered IARs · 1 to 2
      Feb 23, 2016 to Jun 15, 2016
    • Accounts · 550 to 444
      Nov 17, 2015 to Feb 23, 2016
    • Financial planning clients · 11-25 to 1-10
      Nov 17, 2015 to Feb 23, 2016
    • Discretionary RAUM · $116M to $93.0M
      Nov 17, 2015 to Feb 23, 2016
    • Non-discretionary RAUM · $894,338 to $787,848
      Nov 17, 2015 to Feb 23, 2016
    • RAUM · $116M to $93.8M
      Nov 17, 2015 to Feb 23, 2016
    • Accounts · 954 to 550
      Nov 21, 2014 to Feb 19, 2015
    • Discretionary RAUM · $188M to $116M
      Nov 21, 2014 to Feb 19, 2015
    • Non-discretionary RAUM · $1.1M to $894,338
      Nov 21, 2014 to Feb 19, 2015
    • RAUM · $189M to $116M
      Nov 21, 2014 to Feb 19, 2015
    • Accounts · 977 to 954
      Mar 7, 2013 to Mar 10, 2014
    • Discretionary RAUM · $167M to $188M
      Mar 7, 2013 to Mar 10, 2014
    • Non-discretionary RAUM · $683,885 to $1.1M
      Mar 7, 2013 to Mar 10, 2014
    • RAUM · $168M to $189M
      Mar 7, 2013 to Mar 10, 2014
    • Accounts · 1,022 to 977
      Feb 13, 2013 to Mar 7, 2013
    • Discretionary RAUM · $156M to $167M
      Feb 13, 2013 to Mar 7, 2013
    • Non-discretionary RAUM · $557,359 to $683,885
      Feb 13, 2013 to Mar 7, 2013
    • RAUM · $157M to $168M
      Feb 13, 2013 to Mar 7, 2013
    • Advisory employees · unset to 1.0
      Oct 9, 2012 to Nov 26, 2012
    • BD registered reps · unset to 1.0
      Oct 9, 2012 to Nov 26, 2012
    • Employees · unset to 3.0
      Oct 9, 2012 to Nov 26, 2012
    • State-registered IARs · 0 to 1
      Oct 9, 2012 to Nov 26, 2012
    • Related broker-dealer · true to false
      Oct 5, 2012 to Oct 9, 2012
    • Related broker-dealer · false to true
      Feb 9, 2012 to Oct 5, 2012
    • Related insurance company · false to true
      Feb 9, 2012 to Oct 5, 2012
    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