DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

F•• P•••••••

Former SEC-registered adviserCambridge, MassachusettsCRD 110310SEC 801-55104IAPD
Legal name F•• P••••••• L••
Latest filing Mar 29, 2018
First filing on the tape Mar 23, 2012 · 14 filings
RAUM
$3.1B
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
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$249M gross assets
History
14 filings and snapshots on the tape
RAUM$3.1B as of Mar 29, 2018
Mar 23, 2012$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)16 as of Mar 29, 2018
Mar 28, 201314 then
Private funds2 as of Mar 29, 2018
Mar 26, 20141 then
RAUM -0.5% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$342MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
73%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
-0.5%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$249M, 2 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$2.0B67%
  • Pooled investment vehicles$760M25%
  • Sovereign wealth funds$197M6.4%
  • Banks and thrifts$73.6M2.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$249M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• S••••• M••••• F••• S•• • S••••••••• P•••••••• A•Hedge Fund$237M15Aug 28, 2014
      R••••• S••••• M••••• P•••••••• L•••Hedge Fund$12.2M3Jun 4, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• K••••••• A••• · Managing Membercontrol
        since 09/1997 · owns 25% to 50%
      • H•••••• B••••• D•••• · Member, Chief Operating Officer, Chief Compliance Officercontrol
        since 09/2013 · owns 10% to 25%
      • O••••••••• P•••• G••• · Managing Membercontrol
        since 09/1997 · owns 25% to 50%
      • R••••• M••••••• M••••• · Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••••• M••••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 9
        Mar 27, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 2
        Mar 27, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 27, 2017 to Mar 29, 2018
      • Assets in custody · $459M to $249M
        Mar 27, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.1B to $3.1B
        Mar 27, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 760226817.0
        Mar 27, 2017 to Mar 29, 2018
      • RAUM · $3.1B to $3.1B
        Mar 27, 2017 to Mar 29, 2018
      • Related adviser · false to true
        Mar 27, 2017 to Mar 29, 2018
      • Accounts · 13 to 11
        May 3, 2016 to Mar 27, 2017
      • Assets in custody · $263M to $459M
        May 3, 2016 to Mar 27, 2017
      • Employees · 15 to 16
        May 3, 2016 to Mar 27, 2017
      • Discretionary RAUM · $3.0B to $3.1B
        May 3, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $122M to $0
        May 3, 2016 to Mar 27, 2017
      • RAUM · $3.1B to $3.1B
        May 3, 2016 to Mar 27, 2017
      • Related adviser · true to false
        May 3, 2016 to Mar 27, 2017
      • Assets in custody · $243M to $263M
        Mar 30, 2016 to May 3, 2016
      • Discretionary RAUM · $3.0B to $3.0B
        Mar 30, 2016 to May 3, 2016
      • Non-discretionary RAUM · $122M to $122M
        Mar 30, 2016 to May 3, 2016
      • RAUM · $3.1B to $3.1B
        Mar 30, 2016 to May 3, 2016
      • Accounts · 11 to 13
        Aug 12, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 9
        Aug 12, 2015 to Mar 30, 2016
      • Assets in custody · $93.6M to $243M
        Aug 12, 2015 to Mar 30, 2016
      • Employees · 13 to 15
        Aug 12, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.4B to $3.0B
        Aug 12, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $138M to $122M
        Aug 12, 2015 to Mar 30, 2016
      • RAUM · $2.5B to $3.1B
        Aug 12, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 7
        Mar 30, 2015 to Aug 11, 2015
      • Assets in custody · $136M to $93.6M
        Mar 30, 2015 to Aug 11, 2015
      • Employees · 15 to 13
        Mar 30, 2015 to Aug 11, 2015
      • Discretionary RAUM · $2.4B to $2.4B
        Mar 30, 2015 to Aug 11, 2015
      • Non-discretionary RAUM · $122M to $138M
        Mar 30, 2015 to Aug 11, 2015
      • RAUM · $2.5B to $2.5B
        Mar 30, 2015 to Aug 11, 2015
      • Accounts · 10 to 11
        Aug 28, 2014 to Mar 27, 2015
      • Advisory employees · 10 to 9
        Aug 28, 2014 to Mar 27, 2015
      • Assets in custody · $26.0M to $136M
        Aug 28, 2014 to Mar 27, 2015
      • Employees · 14 to 15
        Aug 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $2.0B to $2.4B
        Aug 28, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $264M to $122M
        Aug 28, 2014 to Mar 27, 2015
      • RAUM · $2.3B to $2.5B
        Aug 28, 2014 to Mar 27, 2015
      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