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

M•••••••• F•••••••• P•••••••• L••

Former SEC-registered adviserBedford, New HampshireCRD 117595SEC 801-67022IAPD
Latest filing Feb 9, 2016
First filing on the tape Mar 16, 2012 · 9 filings
RAUM
$146M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$146M as of Feb 2, 2016
Mar 16, 2012$95.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 2, 2016
Mar 16, 20120 then
Employees (5.A)2 as of Feb 2, 2016
Mar 28, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+9.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2016; every figure names its basis
RAUM per advisor
$72.8MderivedRAUM 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
$244,795derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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
  • 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
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
595reported
Financial planning clients
51-100reported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••••• J•••••••• L••• · Manager & Chief Compliance Officercontrol
      since 02/2016 · owns 50% to 75%
    • F••••••••• J••• · Managercontrol
      since 12/2008 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • J••••••• L• D•••••••• C•• P•
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Business name · W•• F••••••••• L•• to M•••••••• F•••••••• P•••••••• L••
      Feb 2, 2016 to Feb 9, 2016
    • Legal name · W•• F••••••••• L•• to M•••••••• F•••••••• P•••••••• L••
      Feb 2, 2016 to Feb 9, 2016
    • Succession · true to false
      Feb 2, 2016 to Feb 9, 2016
    • Accounts · 356 to 595
      Mar 26, 2015 to Feb 2, 2016
    • Discretionary RAUM · $109M to $146M
      Mar 26, 2015 to Feb 2, 2016
    • Non-discretionary RAUM · $13.9M to $0
      Mar 26, 2015 to Feb 2, 2016
    • RAUM · $123M to $146M
      Mar 26, 2015 to Feb 2, 2016
    • Related insurance company · false to true
      Mar 26, 2015 to Feb 2, 2016
    • Succession · false to true
      Mar 26, 2015 to Feb 2, 2016
    • Accounts · 316 to 356
      Mar 31, 2014 to Mar 26, 2015
    • Discretionary RAUM · $96.1M to $109M
      Mar 31, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $16.5M to $13.9M
      Mar 31, 2014 to Mar 26, 2015
    • RAUM · $113M to $123M
      Mar 31, 2014 to Mar 26, 2015
    • Accounts · 314 to 316
      Jun 10, 2013 to Mar 24, 2014
    • Discretionary RAUM · $81.8M to $96.1M
      Jun 10, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $28.2M to $16.5M
      Jun 10, 2013 to Mar 24, 2014
    • RAUM · $110M to $113M
      Jun 10, 2013 to Mar 24, 2014
    • Accounts · 320 to 314
      Mar 16, 2012 to Mar 28, 2013
    • Advisory employees · unset to 2.0
      Mar 16, 2012 to Mar 28, 2013
    • Employees · unset to 2.0
      Mar 16, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 2
      Mar 16, 2012 to Mar 28, 2013
    • Discretionary RAUM · $63.0M to $81.8M
      Mar 16, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $32.4M to $28.2M
      Mar 16, 2012 to Mar 28, 2013
    • RAUM · $95.4M to $110M
      Mar 16, 2012 to Mar 28, 2013
    Signals
    1 dated events
    • W•• F••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 2, 2016 · Succession (Item 4) · 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