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

V•••• C•••••• M••••••••• I••

Former SEC-registered adviserBoston, MassachusettsCRD 110477SEC 801-57191IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 28, 2012 · 19 filings
RAUM
$100M
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
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$100M as of Mar 28, 2019
Mar 28, 2012$95.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2019
Apr 1, 20130 then
Employees (5.A)8 as of Mar 28, 2019
Apr 1, 20136 then
Private funds3 as of Mar 29, 2017
Apr 1, 20133 then
RAUM +38% over the last fiscal year-30% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
$100MderivedRAUM 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
$11.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$57.0M, 6 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)
  • 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
  • Pooled investment vehicles$57.0M57%
  • Corporations and businesses$43.2M43%
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
$57.0M for 6 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
      • C•••••• V•••• · Chief Operating Officer & Chief Compliance Officercontrol
        since 01/2007 · owns less than 5%
      • M•••••••• N••••• M• · Trusteecontrol
        since 05/2010 · owns less than 5%
      • M•••••••• V•••• · President & Ceocontrol
        since 01/1994 · owns less than 5%
      • P•••••••• A••••• A• · Trusteecontrol
        since 08/2015 · owns less than 5%
      Entity owners
      • M••••••• C•••••••• T•••• 2••• · Shareholder
        direct · owns 50% to 75%
      • V•••• M••••••• F••••• I••••••••• T•••• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 8
        Aug 15, 2018 to Mar 28, 2019
      • Corporate clients · 2 to 3
        Aug 15, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 7 to 6
        Aug 15, 2018 to Mar 28, 2019
      • Assets in custody · $72.5M to $57.0M
        Aug 15, 2018 to Mar 28, 2019
      • Discretionary RAUM · $98.0M to $100M
        Aug 15, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $67.5M to $57.0M
        Aug 15, 2018 to Mar 28, 2019
      • RAUM · $98.0M to $100M
        Aug 15, 2018 to Mar 28, 2019
      • Accounts · 7 to 9
        Mar 23, 2018 to Aug 3, 2018
      • Corporate clients · unset to 2.0
        Mar 23, 2018 to Aug 3, 2018
      • Discretionary RAUM · $72.5M to $98.0M
        Mar 23, 2018 to Aug 3, 2018
      • Pooled vehicle RAUM · $72.5M to $67.5M
        Mar 23, 2018 to Aug 3, 2018
      • RAUM · $72.5M to $98.0M
        Mar 23, 2018 to Aug 3, 2018
      • Advisory employees · 6 to 5
        Sep 26, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 7.0
        Sep 26, 2017 to Mar 23, 2018
      • Assets in custody · $97.5M to $72.5M
        Sep 26, 2017 to Mar 23, 2018
      • Employees · 10 to 8
        Sep 26, 2017 to Mar 23, 2018
      • State-registered IARs · 0 to 1
        Sep 26, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Sep 26, 2017 to Mar 23, 2018
      • Private funds · 3 to unset
        Sep 26, 2017 to Mar 23, 2018
      • Discretionary RAUM · $130M to $72.5M
        Sep 26, 2017 to Mar 23, 2018
      • Non-discretionary RAUM · $208M to $0
        Sep 26, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 72477942.0
        Sep 26, 2017 to Mar 23, 2018
      • RAUM · $338M to $72.5M
        Sep 26, 2017 to Mar 23, 2018
      • Assets in custody · $46.6M to $97.5M
        Oct 13, 2016 to Mar 29, 2017
      • Financial planning clients · 0 to unset
        Oct 13, 2016 to Mar 29, 2017
      • Discretionary RAUM · $76.0M to $130M
        Oct 13, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $216M to $208M
        Oct 13, 2016 to Mar 29, 2017
      • RAUM · $292M to $338M
        Oct 13, 2016 to Mar 29, 2017
      • Accounts · 4 to 7
        Jul 14, 2015 to Mar 22, 2016
      • Advisory employees · 5 to 6
        Jul 14, 2015 to Mar 22, 2016
      • Assets in custody · $58.5M to $46.6M
        Jul 14, 2015 to Mar 22, 2016
      • Employees · 7 to 10
        Jul 14, 2015 to Mar 22, 2016
      • Discretionary RAUM · $82.6M to $76.0M
        Jul 14, 2015 to Mar 22, 2016
      • Non-discretionary RAUM · $315M to $216M
        Jul 14, 2015 to Mar 22, 2016
      • RAUM · $398M to $292M
        Jul 14, 2015 to Mar 22, 2016
      • Advisory employees · 1 to 5
        Apr 7, 2014 to Mar 30, 2015
      • Assets in custody · $54.6M to $58.5M
        Apr 7, 2014 to Mar 30, 2015
      • Employees · 5 to 7
        Apr 7, 2014 to Mar 30, 2015
      • Discretionary RAUM · $54.6M to $82.6M
        Apr 7, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $687M to $315M
        Apr 7, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • V•••• C•••••• M••••••••• I•• reported RAUM $72.5M, down 79% from $338.1M (2017-09-26 to 2018-03-23)
        Mar 23, 2018 · RAUM change · derived
      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