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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SEC-registered adviser

S•••••••• C•••••• A••••••••• G••••• L•••••

Asset manager (funds and pooled vehicles)Boston, MassachusettsCRD 114922SEC 801-60513websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Aug 24, 2001
RAUM
$2.8B
reported, Item 5.F
Discretionary
0.1%
of RAUM
Private clients
0.1%
$3.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2026
Mar 28, 2012$1.0B then
HNW client RAUM$3.4M as of Mar 31, 2026
Mar 28, 2018$4.1M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)0 as of Mar 31, 2026
Mar 28, 20134 then
Private funds: no history
RAUM -58% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$2.8BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$492,190derivedHNW RAUM over HNW clients
Average account
$355MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.1%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%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 feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$2.8B100%
  • High-net-worth individuals$3.4M0.1%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• A••• H•••••Boston, MaNov 2, 200141 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
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
    • H•••••• B••••• A••• · Chief Compliance Officer, Ceo And Managing Directorcontrol
      since 09/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • low discretionary shareStatic outlier · filing Mar 31, 2026
      discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 2.0th percentile, 33.7 robust deviations)
      peers: asset managers, $1B to $5B (1,506) · 1.7% percentile
    • RAUM down 50 %Change between filings · filing Mar 31, 2026
      RAUM (Item 5.F) moved from $6,804,963,665 to $2,838,890,251 (-58.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 1.0th percentile of changes)
      peers: asset managers, $1B to $5B (1,368) · 0.7% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 16 to 8
      Mar 31, 2025 to Mar 31, 2026
    • HNW clients · 15 to 7
      Mar 31, 2025 to Mar 31, 2026
    • Discretionary RAUM · $5.0M to $3.4M
      Mar 31, 2025 to Mar 31, 2026
    • HNW RAUM · $5.0M to $3.4M
      Mar 31, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $6.8B to $2.8B
      Mar 31, 2025 to Mar 31, 2026
    • RAUM · $6.8B to $2.8B
      Mar 31, 2025 to Mar 31, 2026
    • Accounts · 10 to 16
      Oct 30, 2024 to Mar 31, 2025
    • HNW clients · 9 to 15
      Oct 30, 2024 to Mar 31, 2025
    • Financial planning clients · unset to
      Oct 30, 2024 to Mar 31, 2025
    • Discretionary RAUM · $3.3M to $5.0M
      Oct 30, 2024 to Mar 31, 2025
    • HNW RAUM · $3.3M to $5.0M
      Oct 30, 2024 to Mar 31, 2025
    • Non-discretionary RAUM · $7.5B to $6.8B
      Oct 30, 2024 to Mar 31, 2025
    • RAUM · $7.5B to $6.8B
      Oct 30, 2024 to Mar 31, 2025
    • Accounts · 32 to 10
      Mar 31, 2023 to Mar 29, 2024
    • Advisory employees · 1 to 0
      Mar 31, 2023 to Mar 29, 2024
    • HNW clients · 31 to 9
      Mar 31, 2023 to Mar 29, 2024
    • Employees · 1 to 0
      Mar 31, 2023 to Mar 29, 2024
    • State-registered IARs · 1 to 0
      Mar 31, 2023 to Mar 29, 2024
    • Discretionary RAUM · $7.8M to $3.3M
      Mar 31, 2023 to Mar 29, 2024
    • HNW RAUM · $7.8M to $3.3M
      Mar 31, 2023 to Mar 29, 2024
    • Non-discretionary RAUM · $7.3B to $7.5B
      Mar 31, 2023 to Mar 29, 2024
    • RAUM · $7.3B to $7.5B
      Mar 31, 2023 to Mar 29, 2024
    • Accounts · 34 to 32
      Apr 1, 2022 to Mar 31, 2023
    • HNW clients · 33 to 31
      Apr 1, 2022 to Mar 31, 2023
    • Discretionary RAUM · $10.2M to $7.8M
      Apr 1, 2022 to Mar 31, 2023
    • HNW RAUM · $10.2M to $7.8M
      Apr 1, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $11B to $7.3B
      Apr 1, 2022 to Mar 31, 2023
    • RAUM · $11B to $7.3B
      Apr 1, 2022 to Mar 31, 2023
    • Accounts · 9 to 34
      Mar 29, 2021 to Apr 1, 2022
    • Advisory employees · 3 to 1
      Mar 29, 2021 to Apr 1, 2022
    • HNW clients · 8 to 33
      Mar 29, 2021 to Apr 1, 2022
    • Employees · 3 to 1
      Mar 29, 2021 to Apr 1, 2022
    • State-registered IARs · 3 to 1
      Mar 29, 2021 to Apr 1, 2022
    • Discretionary RAUM · $3.7M to $10.2M
      Mar 29, 2021 to Apr 1, 2022
    • HNW RAUM · $3.7M to $10.2M
      Mar 29, 2021 to Apr 1, 2022
    • Non-discretionary RAUM · $9.8B to $11B
      Mar 29, 2021 to Apr 1, 2022
    • RAUM · $9.8B to $11B
      Mar 29, 2021 to Apr 1, 2022
    • Non-discretionary RAUM · $4.7B to $9.8B
      Dec 1, 2020 to Mar 29, 2021
    • RAUM · $4.7B to $9.8B
      Dec 1, 2020 to Mar 29, 2021
    • Accounts · 8 to 9
      Mar 20, 2019 to Apr 29, 2020
    Signals
    7 dated events
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $2.8B, down 58% from $6.8B (2025-03-31 to 2026-03-31)
      Mar 31, 2026 · RAUM change · derived
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $7.3B, down 34% from $11.1B (2022-04-01 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • Laurent Laskowski (Director) no longer on Schedule A of S•••••••• C•••••• A••••••••• G••••• L••••• (listed 2021-03-29, absent 2022-04-01)
      Apr 1, 2022 · Control person left · inference
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $9.8B, up 108% from $4.7B (2020-12-01 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $4.7B, up 88% from $2.5B (2019-03-20 to 2020-04-29)
      Apr 29, 2020 · RAUM change · derived
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $2.5B, up 35% from $1.9B (2018-07-03 to 2019-03-20)
      Mar 20, 2019 · RAUM change · derived
    • S•••••••• C•••••• A••••••••• G••••• L••••• reported RAUM $4.1M, down 99% from $412.7M (2017-03-31 to 2018-03-28)
      Mar 28, 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.
    How to reach
    public business contact points only, each with its source
    Website
    w••.s•••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    617-450-9300reportedpublic record, Form ADV, Mar 31, 2026
    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
    Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
    RAUM per advisor
    $2.8Bderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026