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••••••••• F•••••••• M••••••••• G••••• L••

Former SEC-registered adviserFoxboro, MassachusettsCRD 112296SEC 801-107495IAPD
Latest filing Apr 17, 2018
First filing on the tape Feb 13, 2012 · 25 filings
RAUM
$235M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$225M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$235M as of Mar 24, 2018
Feb 13, 2012$136M then
HNW client RAUM: $176M
State-registered IARs (5.B.3)10 as of Mar 24, 2018
Mar 26, 20133 then
Employees (5.A)11 as of Mar 24, 2018
Mar 26, 20134 then
Private funds: no history
RAUM -5.0% over the last fiscal year+13% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Apr 17, 2018; every figure names its basis
RAUM per advisor
$23.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$260,832derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.3derived8 offices incl. principal (1.F.5)
RAUM growth, one year
-5.0%derivedbetween the last two annual amendments
Advisor growth, one year
+11%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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$176M75%
  • Individuals$49.1M21%
  • Corporations and businesses$9.3M4.0%
Individual clients
198reported
HNW clients
111reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
900reported
Financial planning clients
251-500reported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• K••••••••• R••• · Managing Member & Chief Compliance Officercontrol
    since 09/1996 · owns 75% or more
  • E••••• M•••• A••••• · Member
    since 04/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list F••••••••• F•••••••• M••••••••• G••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Reno, NV3 employees
  • Bethesda, MD1 employees
  • Houston, TX1 employees
  • Marblehead, MA1 employees
  • Wilmington, DE1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,059 to 900
    Aug 24, 2017 to Mar 24, 2018
  • Advisory employees · 9 to 10
    Aug 24, 2017 to Mar 24, 2018
  • Corporate clients · unset to 1.0
    Aug 24, 2017 to Mar 24, 2018
  • HNW clients · unset to 111.0
    Aug 24, 2017 to Mar 24, 2018
  • Individual clients · unset to 198.0
    Aug 24, 2017 to Mar 24, 2018
  • Employees · 9 to 11
    Aug 24, 2017 to Mar 24, 2018
  • Insurance-licensed employees · 0 to 2
    Aug 24, 2017 to Mar 24, 2018
  • Financial planning clients · 101-250 to 251-500
    Aug 24, 2017 to Mar 24, 2018
  • State-registered IARs · 9 to 10
    Aug 24, 2017 to Mar 24, 2018
  • Other offices · unset to 7.0
    Aug 24, 2017 to Mar 24, 2018
  • Discretionary RAUM · $247M to $232M
    Aug 24, 2017 to Mar 24, 2018
  • HNW RAUM · unset to 176352788.0
    Aug 24, 2017 to Mar 24, 2018
  • Individual RAUM · unset to 49058314.0
    Aug 24, 2017 to Mar 24, 2018
  • Non-discretionary RAUM · $448,245 to $2.4M
    Aug 24, 2017 to Mar 24, 2018
  • RAUM · $247M to $235M
    Aug 24, 2017 to Mar 24, 2018
  • Accounts · 787 to 1,059
    Oct 28, 2016 to Feb 10, 2017
  • Advisory employees · 4 to 9
    Oct 28, 2016 to Feb 10, 2017
  • Employees · 4 to 9
    Oct 28, 2016 to Feb 10, 2017
  • State-registered IARs · 4 to 9
    Oct 28, 2016 to Feb 10, 2017
  • Discretionary RAUM · $190M to $247M
    Oct 28, 2016 to Feb 10, 2017
  • Non-discretionary RAUM · $2.8M to $448,245
    Oct 28, 2016 to Feb 10, 2017
  • RAUM · $193M to $247M
    Oct 28, 2016 to Feb 10, 2017
  • Accounts · 0 to 787
    Mar 23, 2016 to May 13, 2016
  • Discretionary RAUM · $0 to $190M
    Mar 23, 2016 to May 13, 2016
  • Non-discretionary RAUM · $0 to $2.8M
    Mar 23, 2016 to May 13, 2016
  • RAUM · $0 to $193M
    Mar 23, 2016 to May 13, 2016
  • Accounts · 702 to 0
    Mar 11, 2015 to Mar 17, 2016
  • Insurance-licensed employees · 4 to 0
    Mar 11, 2015 to Mar 17, 2016
  • Discretionary RAUM · $164M to $0
    Mar 11, 2015 to Mar 17, 2016
  • Non-discretionary RAUM · $404,723 to $0
    Mar 11, 2015 to Mar 17, 2016
  • RAUM · $164M to $0
    Mar 11, 2015 to Mar 17, 2016
  • Accounts · 749 to 702
    Dec 15, 2014 to Mar 11, 2015
  • Advisory employees · 3 to 4
    Dec 15, 2014 to Mar 11, 2015
  • Insurance-licensed employees · 0 to 4
    Dec 15, 2014 to Mar 11, 2015
  • State-registered IARs · 3 to 4
    Dec 15, 2014 to Mar 11, 2015
  • Discretionary RAUM · $178M to $164M
    Dec 15, 2014 to Mar 11, 2015
  • Non-discretionary RAUM · $1.0M to $404,723
    Dec 15, 2014 to Mar 11, 2015
  • RAUM · $179M to $164M
    Dec 15, 2014 to Mar 11, 2015
  • Related adviser · true to false
    Dec 15, 2014 to Mar 11, 2015
  • HQ city · MANSFIELD to FOXBORO
    Jul 30, 2014 to Dec 15, 2014
Signals
1 dated events
  • F••••••••• F•••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Mar 17, 2016 · First SEC registration · fact
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