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

G•••• P•••• I••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 112204SEC 801-55264IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$747M
reported, Item 5.F
Discretionary
39%
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$747M as of Mar 31, 2017
Mar 29, 2012$635M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 27, 20130 then
Employees (5.A)8 as of Mar 31, 2017
Mar 27, 201312 then
Private funds: no history
RAUM +3.1% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$374MderivedRAUM over accounts (5.F.2.f)
Discretionary
39%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
+3.1%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$15.0M, 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
  • 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)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$15.0M for 2 clientsreported
Compensation
% of AUM, fixed, 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
      • S•••••••• G•••• R••••• · Membercontrol
        since 02/1998 · owns 25% to 50%
      • V•••••••• J•••••• A••••• · Membercontrol
        since 02/1998 · owns 75% or more
      • M•••••••• J•••• · Cfo & Chief Compliance Officer
        since 09/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 8
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $12.0M to $15.0M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 10 to 8
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $725M to $293M
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $0 to $454M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $725M to $747M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 11 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $10.0M to $12.0M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 11 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $671M to $725M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $671M to $725M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 3 to 2
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 12 to 11
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · unset to 10000000.0
        Mar 28, 2014 to Mar 31, 2015
      • Custody of client assets · false to true
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 12 to 11
        Mar 28, 2014 to Mar 31, 2015
      • Financial planning clients · unset to 0
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $655M to $671M
        Mar 28, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $1.4M to $0
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $657M to $671M
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $560M to $655M
        Mar 27, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $56.9M to $1.4M
        Mar 27, 2013 to Mar 28, 2014
      • RAUM · $617M to $657M
        Mar 27, 2013 to Mar 28, 2014
      • Advisory employees · unset to 12.0
        Mar 29, 2012 to Mar 27, 2013
      • Employees · unset to 12.0
        Mar 29, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 27, 2013
      • Discretionary RAUM · $571M to $560M
        Mar 29, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $64.1M to $56.9M
        Mar 29, 2012 to Mar 27, 2013
      • RAUM · $635M to $617M
        Mar 29, 2012 to Mar 27, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026