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••••• D••••• C•••• • C• I••

Former SEC-registered adviserBoston, MassachusettsCRD 11723SEC 801-4380IAPD
Legal name F••••• D••••• C•••• • C••• I•••••••••
Latest filing Jun 26, 2019
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$60.9M gross assets
History
12 filings and snapshots on the tape
RAUM$1.3B as of Feb 20, 2019
Mar 30, 2012$862M then
HNW client RAUM$1.2B as of Feb 20, 2019
Mar 22, 2018$1.1B then
State-registered IARs (5.B.3)0 as of Feb 20, 2019
Mar 30, 20120 then
Employees (5.A)14 as of Feb 20, 2019
Mar 22, 201313 then
Private funds5 as of Feb 20, 2019
Mar 30, 20124 then
RAUM -2.3% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2019; 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
$2.3MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B88%
  • Corporations and businesses$59.0M4.4%
  • Pooled investment vehicles$50.3M3.7%
  • Charitable organizations$22.8M1.7%
  • Individuals$15.2M1.1%
  • Pension and profit-sharing plans$12.9M1.0%
Individual clients
52reported
HNW clients
507reported
Pension plan clients
3reported
Charitable clients
9reported
Accounts
609reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L• I••••••••• A••••••••• L••no longer reportedPrivate Equity Fund$59,75816Mar 30, 2012
      F•• V•••••• P•••••••no longer reportedVenture Capital Fund$4,0756Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• E••••••••• A•• · Presidentcontrol
        since 07/2013 · owns 75% or more
      • F•••••• F••••••••• P•••• · Vice President
        since 07/2017 · owns less than 5%
      • G•••••• D•••••••• N•• · Chief Operating Officer
        since 07/2013 · owns less than 5%
      • K•••••••• A•••••• R••••••••• · Chief Compliance Officer
        since 11/2002 · owns less than 5%
      • M•••••••• B•••••• L••••••• · Vice President
        since 01/2014 · owns less than 5%
      • M•••••• J••••••• D••••• · Chief Investment Officer
        since 09/2016 · owns less than 5%
      • S•••••• V•••••• N•• · Vice President
        since 12/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • F•• M•••••• I• L••
        pooled vehicle sponsory
      • F•• M•••••• I•• L••
        pooled vehicle sponsory
      • F•• M•••••• I• L••
        pooled vehicle sponsory
      • F•• M•••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 1283554311.0 to unset
        Feb 20, 2019 to Jun 26, 2019
      • Custody of client assets · true to false
        Feb 20, 2019 to Jun 26, 2019
      • Accounts · 586 to 609
        Mar 22, 2018 to Feb 20, 2019
      • Advisory employees · 9 to 8
        Mar 22, 2018 to Feb 20, 2019
      • Charity clients · 10 to 9
        Mar 22, 2018 to Feb 20, 2019
      • Corporate clients · 12 to 13
        Mar 22, 2018 to Feb 20, 2019
      • HNW clients · 512 to 507
        Mar 22, 2018 to Feb 20, 2019
      • Individual clients · 43 to 52
        Mar 22, 2018 to Feb 20, 2019
      • Pension plan clients · 4 to 3
        Mar 22, 2018 to Feb 20, 2019
      • Pooled vehicle clients · 5 to 6
        Mar 22, 2018 to Feb 20, 2019
      • Assets in custody · $1.3B to $1.3B
        Mar 22, 2018 to Feb 20, 2019
      • Discretionary RAUM · $1.4B to $1.3B
        Mar 22, 2018 to Feb 20, 2019
      • HNW RAUM · $1.1B to $1.2B
        Mar 22, 2018 to Feb 20, 2019
      • Individual RAUM · $11.4M to $15.2M
        Mar 22, 2018 to Feb 20, 2019
      • Non-discretionary RAUM · $17.9M to $0
        Mar 22, 2018 to Feb 20, 2019
      • Pension RAUM · $12.9M to $12.9M
        Mar 22, 2018 to Feb 20, 2019
      • Pooled vehicle RAUM · $117M to $50.3M
        Mar 22, 2018 to Feb 20, 2019
      • RAUM · $1.4B to $1.3B
        Mar 22, 2018 to Feb 20, 2019
      • Accounts · 590 to 586
        Apr 19, 2017 to Mar 22, 2018
      • Charity clients · unset to 10.0
        Apr 19, 2017 to Mar 22, 2018
      • Corporate clients · unset to 12.0
        Apr 19, 2017 to Mar 22, 2018
      • HNW clients · unset to 512.0
        Apr 19, 2017 to Mar 22, 2018
      • Individual clients · unset to 43.0
        Apr 19, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 4.0
        Apr 19, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 5.0
        Apr 19, 2017 to Mar 22, 2018
      • Assets in custody · $1.2B to $1.3B
        Apr 19, 2017 to Mar 22, 2018
      • Employees · 16 to 14
        Apr 19, 2017 to Mar 22, 2018
      • Other offices · unset to 1.0
        Apr 19, 2017 to Mar 22, 2018
      • Private funds · 6 to 5
        Apr 19, 2017 to Mar 22, 2018
      • Discretionary RAUM · $1.2B to $1.4B
        Apr 19, 2017 to Mar 22, 2018
      • HNW RAUM · unset to 1149772263.0
        Apr 19, 2017 to Mar 22, 2018
      • Individual RAUM · unset to 11366365.0
        Apr 19, 2017 to Mar 22, 2018
      • Non-discretionary RAUM · $16.5M to $17.9M
        Apr 19, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 12940063.0
        Apr 19, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 117193082.0
        Apr 19, 2017 to Mar 22, 2018
      • RAUM · $1.2B to $1.4B
        Apr 19, 2017 to Mar 22, 2018
      • Succession · true to false
        Mar 29, 2017 to Apr 19, 2017
      • Accounts · 506 to 590
        Aug 19, 2016 to Mar 29, 2017
      • Assets in custody · $1.1B to $1.2B
        Aug 19, 2016 to Mar 29, 2017
      • Private funds · 5 to 6
        Aug 19, 2016 to Mar 29, 2017
      Signals
      1 dated events
      • F••••• D••••• C•••• • C• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 29, 2017 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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