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

L•••••• M•••••••••

Former SEC-registered adviserCRD 111403SEC 801-52546IAPD
Legal name T•• O• T•• H••• C• L••
Latest filing May 24, 2017
First filing on the tape Apr 9, 2012 · 11 filings
RAUM
$63.5M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$31.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$63.5M as of Mar 2, 2017
Apr 9, 2012$95.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2017
Apr 9, 20120 then
Employees (5.A)2 as of Mar 2, 2017
Apr 5, 20132 then
Private funds: no history
RAUM -39% over the last fiscal year-13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 24, 2017; every figure names its basis
RAUM per advisor
$31.8MderivedRAUM 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
$655,009derivedRAUM over accounts (5.F.2.f)
Discretionary
18%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-39%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 assetsreportedItem 5.E
Advisory activities
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
  • 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)
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
97reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• J• E••••••Carlisle, MaApr 14, 199461 y0
A•• L• M••••Carlisle, MaJan 1, 200230 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • E••••••• D••••• J• · Partnercontrol
        since 07/1996 · owns 75% or more
      • M••••• A••• L• · Chief Compliance Officercontrol
        since 07/1996 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Carlisle, Ma200
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 62 to 97
        Mar 31, 2016 to Feb 3, 2017
      • Discretionary RAUM · $4.1M to $11.4M
        Mar 31, 2016 to Feb 3, 2017
      • Non-discretionary RAUM · $100.0M to $52.2M
        Mar 31, 2016 to Feb 3, 2017
      • RAUM · $104M to $63.5M
        Mar 31, 2016 to Feb 3, 2017
      • Accounts · 61 to 62
        Mar 1, 2016 to Mar 31, 2016
      • Discretionary RAUM · $4.8M to $4.1M
        Mar 1, 2016 to Mar 31, 2016
      • Non-discretionary RAUM · $94.6M to $100.0M
        Mar 1, 2016 to Mar 31, 2016
      • RAUM · $99.4M to $104M
        Mar 1, 2016 to Mar 31, 2016
      • Accounts · 63 to 61
        Feb 23, 2016 to Mar 1, 2016
      • Discretionary RAUM · $3.0M to $4.8M
        Feb 23, 2016 to Mar 1, 2016
      • Non-discretionary RAUM · $96.7M to $94.6M
        Feb 23, 2016 to Mar 1, 2016
      • RAUM · $99.7M to $99.4M
        Feb 23, 2016 to Mar 1, 2016
      • Assets in custody · 2973653.0 to unset
        Mar 31, 2015 to Feb 23, 2016
      • Custody of client assets · true to false
        Mar 31, 2015 to Feb 23, 2016
      • Accounts · 66 to 63
        Apr 3, 2014 to Mar 31, 2015
      • Assets in custody · $3.0M to $3.0M
        Apr 3, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.0M to $3.0M
        Apr 3, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $93.0M to $96.7M
        Apr 3, 2014 to Mar 31, 2015
      • RAUM · $95.9M to $99.7M
        Apr 3, 2014 to Mar 31, 2015
      • Accounts · 70 to 66
        Apr 5, 2013 to Apr 3, 2014
      • Assets in custody · $2.7M to $3.0M
        Apr 5, 2013 to Apr 3, 2014
      • Discretionary RAUM · $2.7M to $3.0M
        Apr 5, 2013 to Apr 3, 2014
      • Non-discretionary RAUM · $91.7M to $93.0M
        Apr 5, 2013 to Apr 3, 2014
      • RAUM · $94.4M to $95.9M
        Apr 5, 2013 to Apr 3, 2014
      • Accounts · 68 to 70
        Apr 9, 2012 to Apr 5, 2013
      • Advisory employees · unset to 2.0
        Apr 9, 2012 to Apr 5, 2013
      • Assets in custody · $2.7M to $2.7M
        Apr 9, 2012 to Apr 5, 2013
      • Employees · unset to 2.0
        Apr 9, 2012 to Apr 5, 2013
      • State-registered IARs · 0 to 2
        Apr 9, 2012 to Apr 5, 2013
      • Discretionary RAUM · $2.6M to $2.7M
        Apr 9, 2012 to Apr 5, 2013
      • Non-discretionary RAUM · $93.0M to $91.7M
        Apr 9, 2012 to Apr 5, 2013
      • RAUM · $95.6M to $94.4M
        Apr 9, 2012 to Apr 5, 2013
      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
      $31.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026