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

W••••• P•••••••• L••

Former SEC-registered adviserCRD 115071SEC 801-63137IAPD
Latest filing Nov 9, 2012
First filing on the tape Mar 21, 2012 · 6 filings
RAUM
$28.1M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$28.1M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$24.0M gross assets
History
6 filings and snapshots on the tape
RAUM$28.1M as of Nov 9, 2012
Mar 21, 2012$28.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 4
Private funds1 as of Nov 9, 2012
May 3, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 9, 2012; every figure names its basis
RAUM per advisor
$28.1MderivedRAUM 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
$825,000derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$19.4M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
34reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$19.4M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• A•••• B•••••••••Chartered Financial AnalystGolden Valley, MnJan 1, 202612 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S• P•••••••• L•Hedge Fund$24.0M50May 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• R••••••• R•••••• · President, Chief Compliance Officer, Managing Directo - Portfoliocontrol
        since 02/1997 · owns 50% to 75%
      • R••••••• W•••••• C••••••••• · Chairman, Managing Director, Compliance Officercontrol
        since 02/1997 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Ashland, MA
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 1.0
        Oct 11, 2012 to Nov 9, 2012
      • Employees · unset to 4.0
        Oct 11, 2012 to Nov 9, 2012
      • State-registered IARs · unset to 1.0
        Oct 11, 2012 to Nov 9, 2012
      • Private funds · unset to 1
        Mar 22, 2012 to May 3, 2012
      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
      $28.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026