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
R•••••• I••••••••• A•••••••
Legal name R•••••• I••••••••• A•••••••• L••
Latest filing Apr 12, 2024
First filing on the tape Mar 26, 2012 · 39 filings
RAUM
$13B
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
23
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$13B as of Mar 28, 2024
Mar 26, 2012$520M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 30, 2018$55.2M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 26, 20130 then
Employees (5.A)23 as of Mar 28, 2024
Mar 26, 201350 then
Private funds1 as of Mar 30, 2016
Mar 26, 20121 then
RAUM +4.7% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 2024; 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
- $101MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 98%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
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $1.2B, 3 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$12B93%
- Charitable organizations$616M4.7%
- Corporations and businesses$257M2.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 13reported
- Charitable clients
- 5reported
- Accounts
- 128reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 3 clientsreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• A••••••• R••••• P•••••••• L••no longer reported | Hedge Fund | $125,000 | 11 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• W••••••• C•••••• · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- N•••••••• M•••• O••• · Chief Executive Offcercontrolsince 01/2023 · owns less than 5%
- M••••••• E••••• D•••••••• · Chief Compliance Officersince 07/2012 · owns less than 5%
- P••••••• D••••• S••• · Chief Legal Offcersince 01/2021 · owns less than 5%
Entity owners
- G••• H••••••• L•• · General Partnerdirect · owns 75% or more
- T•• G•••••• S•••• G••••• I••• · Memberindirect · owns 75% or more of G••• H••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A• R•• A•••••••• L•••••pooled vehicle sponsorn
- A••••••• I••••••••• M••••••••• L•investment adviserbankpooled vehicle sponsorLP sponsornRAUM $6.1B
- A••••••• P••••••• F••• G• L••pooled vehicle sponsorn
- A•••• R••••••••• C••••••• L••••••real estaten
- A•• A••••• A••••••• L••pooled vehicle sponsorn
- B•••••• V••••••• O••••••••• A••••• O••••••• L•pooled vehicle sponsorn
- B•••• S••••• L••• P••••••• I• U•••••••• A•••••••• S•• R•••pooled vehicle sponsorn
- B•••• S••••• P••••••• L•• G•• S•• R•••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• A••••••• L•••••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• I• A••••••• L•••••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• O••••••• A••••••• L•••pooled vehicle sponsorn
- C••• A••••••• L••pooled vehicle sponsorn
- C•••••••• A••••••••• G• L••pooled vehicle sponsorn
- D•• O••••••••• I• A••••• L••pooled vehicle sponsorn
- F•••• I••••••••• I•••broker-dealern
- G•••••• S•••• ••••• F••••••broker-dealern
- G•••••• S•••• ••••• L•••••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• ••••• S••••••••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• •••••• L•••••investment adviserpooled vehicle sponsorn
- G•••••• S•••• •••••• C•••••• M•••••• P•••••• L••••••broker-dealern
- G•••••• S•••• •••••• S••••••••• P•••••• L••••••broker-dealerinvestment advisern
- G•••••• S•••• ••••••••• P•••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• • C•• L••broker-dealerinvestment adviserbanktrust companynRAUM $134B
- G•••••• S•••• A••••• F•••• G•• L••pooled vehicle sponsorn
- G•••••• S•••• A••••••••• A••••• S•• R••pooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• •••• K•••• L••••••investment advisernRAUM $21B
- G•••••• S•••• A•••• M••••••••• •••••• P•••••• L••••••investment adviserpooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• ••••••••• P••• L•••broker-dealerinvestment adviserbankpooled vehicle sponsornRAUM $14B
- G•••••• S•••• A•••• M••••••••• A•••••••• P•• L••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• B•••investment adviserpooled vehicle sponsorn
Advisers that list R•••••• I••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Southburough, MA4 employees
What changed
consecutive filings, newest first
- Accounts · 155 to 128Jan 30, 2024 to Mar 28, 2024
- Advisory employees · 25 to 20Jan 30, 2024 to Mar 28, 2024
- Charity clients · 6 to 5Jan 30, 2024 to Mar 28, 2024
- Corporate clients · 17 to 15Jan 30, 2024 to Mar 28, 2024
- HNW clients · 1 to 0Jan 30, 2024 to Mar 28, 2024
- Pension plan clients · 14 to 13Jan 30, 2024 to Mar 28, 2024
- Assets in custody · $1.7B to $1.2BJan 30, 2024 to Mar 28, 2024
- Employees · 31 to 23Jan 30, 2024 to Mar 28, 2024
- Discretionary RAUM · $12B to $13BJan 30, 2024 to Mar 28, 2024
- HNW RAUM · $233M to $0Jan 30, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $10.8MJan 30, 2024 to Mar 28, 2024
- Pension RAUM · $11B to $12BJan 30, 2024 to Mar 28, 2024
- RAUM · $12B to $13BJan 30, 2024 to Mar 28, 2024
- Accounts · 113 to 155Feb 9, 2023 to Mar 31, 2023
- Advisory employees · 32 to 25Feb 9, 2023 to Mar 31, 2023
- Corporate clients · 0 to 17Feb 9, 2023 to Mar 31, 2023
- Pension plan clients · 30 to 14Feb 9, 2023 to Mar 31, 2023
- Assets in custody · $3.1B to $1.7BFeb 9, 2023 to Mar 31, 2023
- Employees · 41 to 31Feb 9, 2023 to Mar 31, 2023
- Financial planning clients · 101-250 to 0Feb 9, 2023 to Mar 31, 2023
- Discretionary RAUM · $13B to $12BFeb 9, 2023 to Mar 31, 2023
- HNW RAUM · $252M to $233MFeb 9, 2023 to Mar 31, 2023
- Pension RAUM · $12B to $11BFeb 9, 2023 to Mar 31, 2023
- RAUM · $13B to $12BFeb 9, 2023 to Mar 31, 2023
- Accounts · 124 to 113Dec 16, 2021 to Mar 31, 2022
- Advisory employees · 27 to 32Dec 16, 2021 to Mar 31, 2022
- Charity clients · 5 to 6Dec 16, 2021 to Mar 31, 2022
- Pension plan clients · 18 to 30Dec 16, 2021 to Mar 31, 2022
- Assets in custody · $15B to $3.1BDec 16, 2021 to Mar 31, 2022
- Employees · 31 to 41Dec 16, 2021 to Mar 31, 2022
- Financial planning clients · 51-100 to 101-250Dec 16, 2021 to Mar 31, 2022
- Other offices · 4 to 1Dec 16, 2021 to Mar 31, 2022
- Discretionary RAUM · $14B to $13BDec 16, 2021 to Mar 31, 2022
- HNW RAUM · $222M to $252MDec 16, 2021 to Mar 31, 2022
- Pension RAUM · $13B to $12BDec 16, 2021 to Mar 31, 2022
- RAUM · $14B to $13BDec 16, 2021 to Mar 31, 2022
- Other offices · 0 to 4Mar 31, 2021 to Apr 29, 2021
- Accounts · 56 to 124Jan 13, 2021 to Mar 31, 2021
- Advisory employees · 32 to 27Jan 13, 2021 to Mar 31, 2021
- BD registered reps · 2 to 1Jan 13, 2021 to Mar 31, 2021
Signals
12 dated events
- Charles W•••••• B••••••••• (Chief Operating Officer) appeared on Schedule A of R•••••• I••••••••• A•••••••Jan 30, 2024 · Control person joined · fact
- Otto Marc Nachmann (Chief Executive Offcer) appeared on Schedule A of R•••••• I••••••••• A•••••••Feb 9, 2023 · Control person joined · fact
- Sherry Robin Pellish (Ceo) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2022-12-14, absent 2023-02-09)Feb 9, 2023 · Control person left · inference
- R•••••• I••••••••• A••••••• reported RAUM $14.0B, up 60% from $8.7B (2019-11-08 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- L. Roger Fenningdorf (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- J. Christopher Cesare (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Randolph Christopher Lyon (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Scott Joseph Nankof (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Adam Wheat (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Alberto Cota (Chief Operating Officer) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Meriam Zandi (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- Caroline Anne Buehl (Member) no longer on Schedule A of R•••••• I••••••••• A••••••• (listed 2019-03-29, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
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