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Former SEC-registered adviserFormer SEC adviser· Boston, Massachusetts

Former SEC-registered adviser, based in Boston, Massachusetts, reporting $3.2B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$3.2B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-11%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 14 Form ADV filings for this adviser, the latest 3.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 119626 · SEC 801-61018 · 14 filingsShow
CRD 119626SEC 801-61018First filing on the tape Mar 29, 2012, latest Mar 29, 2023IAPD
RAUM
$3.2B
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
19
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$3.2B as of Mar 29, 2023
Mar 29, 2012$585M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 29, 20120 then
Employees (5.A)19 as of Mar 29, 2023
Mar 27, 20138 then
Private funds: no history
RAUM -11% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
unknownderivedHNW RAUM over HNW clients
Average account
$805MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%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, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, 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
  • 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)
  • 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
  • Investment companies$3.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • O••••••• D•••••• R• · President, Ceo, Cfo, Member And Managercontrol
        since 06/2002 · owns 50% to 75%
      • O••••••• M•••• N• · Membercontrol
        since 06/2002 · owns 50% to 75%
      • W•••••••• L••••• F• · Chief Compliance Officer
        since 05/2009 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 21 to 19
        Mar 25, 2022 to Mar 29, 2023
      • Discretionary RAUM · $3.6B to $3.2B
        Mar 25, 2022 to Mar 29, 2023
      • RAUM · $3.6B to $3.2B
        Mar 25, 2022 to Mar 29, 2023
      • Advisory employees · 10 to 13
        Mar 29, 2021 to Mar 25, 2022
      • Employees · 16 to 21
        Mar 29, 2021 to Mar 25, 2022
      • Discretionary RAUM · $3.4B to $3.6B
        Mar 29, 2021 to Mar 25, 2022
      • RAUM · $3.4B to $3.6B
        Mar 29, 2021 to Mar 25, 2022
      • Advisory employees · 12 to 10
        Mar 13, 2020 to Mar 29, 2021
      • Advisory activities · 1 to 2
        Mar 13, 2020 to Mar 29, 2021
      • Employees · 19 to 16
        Mar 13, 2020 to Mar 29, 2021
      • Discretionary RAUM · $3.1B to $3.4B
        Mar 13, 2020 to Mar 29, 2021
      • RAUM · $3.1B to $3.4B
        Mar 13, 2020 to Mar 29, 2021
      • Advisory employees · 11 to 12
        Mar 28, 2019 to Mar 13, 2020
      • Employees · 18 to 19
        Mar 28, 2019 to Mar 13, 2020
      • Discretionary RAUM · $2.8B to $3.1B
        Mar 28, 2019 to Mar 13, 2020
      • RAUM · $2.8B to $3.1B
        Mar 28, 2019 to Mar 13, 2020
      • Advisory employees · 12 to 11
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $3.1B to $2.8B
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $3.1B to $2.8B
        Mar 29, 2018 to Mar 28, 2019
      • Advisory employees · 11 to 12
        Mar 28, 2017 to Mar 29, 2018
      • Employees · 16 to 18
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.8B to $3.1B
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $2.8B to $3.1B
        Mar 28, 2017 to Mar 29, 2018
      • Advisory employees · 10 to 11
        Mar 29, 2016 to Mar 28, 2017
      • Employees · 15 to 16
        Mar 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $3.4B to $2.8B
        Mar 29, 2016 to Mar 28, 2017
      • RAUM · $3.4B to $2.8B
        Mar 29, 2016 to Mar 28, 2017
      • Accounts · 3 to 4
        May 8, 2015 to Mar 29, 2016
      • Advisory employees · 9 to 10
        May 8, 2015 to Mar 29, 2016
      • Employees · 13 to 15
        May 8, 2015 to Mar 29, 2016
      • Discretionary RAUM · $2.6B to $3.4B
        May 8, 2015 to Mar 29, 2016
      • RAUM · $2.6B to $3.4B
        May 8, 2015 to Mar 29, 2016
      • Accounts · 2 to 3
        Mar 21, 2014 to Mar 27, 2015
      • Advisory employees · 5 to 9
        Mar 21, 2014 to Mar 27, 2015
      • Employees · 8 to 13
        Mar 21, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.1B to $2.6B
        Mar 21, 2014 to Mar 27, 2015
      • RAUM · $1.1B to $2.6B
        Mar 21, 2014 to Mar 27, 2015
      • Discretionary RAUM · $715M to $1.1B
        Mar 27, 2013 to Mar 21, 2014
      • RAUM · $715M to $1.1B
        Mar 27, 2013 to Mar 21, 2014
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026