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
T••••••••• C•••••• L••
Latest filing Nov 6, 2012
First filing on the tape Apr 18, 2012 · 6 filings
RAUM
$33.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$17.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$33.9M as of Nov 6, 2012
Apr 18, 2012$41.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 6, 2012; every figure names its basis
- RAUM per advisor
- $17.0MderivedRAUM 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
- $308,466derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
- 110reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••• D•••••• | Newton, Ma | May 27, 2003 | 28 y | 0 |
| K•••••••• W•••• D•••••• | Newton, Ma | Jan 29, 2013 | 16 y | 1 |
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 headcount1 left over 36 months
Left, latest
- J•••••• Z•••• to G••••• V•••• I•••••••••Oct 1, 2024 · Other
- T••••• M••••••••• to N••••• I••••••••• L••Oct 1, 2018 · Other
- Y••• K••• to M•••• K•• C•••••• G••••• L••Dec 11, 2007 · Other
Joined, latest
- J•••••• Z•••• from A•••• C•••••• I••••••••• L••Sep 8, 2023 · Other
- K•••••••• W•••• D•••••• from T••••••••• M••••• F•••• L••Jan 29, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••• R•••• · Chairmancontrolsince 08/1999 · owns 75% or more
- D••••• L•••• M•••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officercontrolsince 01/2003 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newton, Ma | 2 | 0 | 0 | ||
| Boston, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 3.0Oct 22, 2012 to Nov 6, 2012
- Employees · unset to 3.0Oct 22, 2012 to Nov 6, 2012
- State-registered IARs · unset to 3.0Oct 22, 2012 to Nov 6, 2012
- Accounts · 77 to 110Aug 21, 2012 to Oct 17, 2012
- Discretionary RAUM · $41.2M to $33.9MAug 21, 2012 to Oct 17, 2012
- RAUM · $41.2M to $33.9MAug 21, 2012 to Oct 17, 2012
- Related adviser · true to falseAug 21, 2012 to Oct 17, 2012
Signals
1 dated events
- J•••••• Z•••• left T••••••••• C•••••• L•• for G••••• V•••• I••••••••• (registered 2024-06-25)Oct 1, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- D••••••V••••.COMreportedpublic record, Form ADV, Sep 18, 2026
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
- $17.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026