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•• A••••••• L••

Former SEC-registered adviserNewton, MassachusettsCRD 123525SEC 801-62519IAPD
Latest filing Dec 21, 2020
First filing on the tape Dec 9, 2011 · 14 filings
RAUM
$277M
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
10
8 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$277M as of Dec 21, 2020
Dec 9, 2011$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 21, 2020
Dec 9, 20110 then
Employees (5.A)10 as of Dec 21, 2020
Dec 7, 20126 then
Private funds: no history
RAUM -24% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 21, 2020; 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
$277MderivedRAUM 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
-24%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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$277M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • C••••• J•••••••• B••••• · Director, President, Chief Executive Officer, General Counsel & Secretarycontrol
        since 07/2002 · owns less than 5%
      • D•••• F••••••• · Vice Presidentcontrol
        since 05/2007 · owns less than 5%
      • J•••••• M••••••• P••• · Director, Executive Vice President, Chief Financial Officer & Treasurercontrol
        since 10/2017 · owns less than 5%
      • L•••••• G•••••• D•••••• · Senior Vice Presidentcontrol
        since 05/2020 · owns less than 5%
      • L•••••• V•••• D•••• · Chief Compliance Officer & Director Of Internal Auditcontrol
        since 03/2012 · owns less than 5%
      • P••••••• A•••• D•••• · Directorcontrol
        since 05/2007 · owns less than 5%
      • P••••••• A•••• D•••• · Trustee And Ownercontrol
        since 06/2015 · owns 75% or more of A•• T••••
      Entity owners
      • T•• R•• G•••• L•• · Sole Member
        direct · owns 75% or more
      • T•• R•• G•••• I••• · Class B Managing Member And Class A Member
        indirect · owns 50% to 75% of T•• R•• G•••• L•• · public reporting company
      • A•• T•••• · Class A Member
        indirect · owns 25% to 50% of T•• R•• G•••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 8
        Dec 13, 2019 to Dec 21, 2020
      • Employees · 9 to 10
        Dec 13, 2019 to Dec 21, 2020
      • Discretionary RAUM · $362M to $277M
        Dec 13, 2019 to Dec 21, 2020
      • RAUM · $362M to $277M
        Dec 13, 2019 to Dec 21, 2020
      • Advisory employees · 5 to 6
        Dec 16, 2018 to Dec 13, 2019
      • Discretionary RAUM · $336M to $362M
        Dec 16, 2018 to Dec 13, 2019
      • RAUM · $336M to $362M
        Dec 16, 2018 to Dec 13, 2019
      • Discretionary RAUM · $317M to $336M
        Jun 7, 2018 to Dec 16, 2018
      • RAUM · $317M to $336M
        Jun 7, 2018 to Dec 16, 2018
      • Employees · 8 to 9
        Dec 13, 2016 to Dec 5, 2017
      • Other offices · unset to 0.0
        Dec 13, 2016 to Dec 5, 2017
      • Discretionary RAUM · $282M to $317M
        Dec 13, 2016 to Dec 5, 2017
      • RAUM · $282M to $317M
        Dec 13, 2016 to Dec 5, 2017
      • Advisory employees · 7 to 5
        Dec 15, 2015 to Dec 13, 2016
      • Employees · 7 to 8
        Dec 15, 2015 to Dec 13, 2016
      • Discretionary RAUM · $248M to $282M
        Dec 15, 2015 to Dec 13, 2016
      • RAUM · $248M to $282M
        Dec 15, 2015 to Dec 13, 2016
      • Related adviser · false to true
        Dec 15, 2015 to Dec 13, 2016
      • Business name · R•• A•••••••• I••• to R•• A••••••• L••
        Jun 26, 2015 to Dec 15, 2015
      • Legal name · R•• A•••••••• I••• to R•• A••••••• L••
        Jun 26, 2015 to Dec 15, 2015
      • Discretionary RAUM · $262M to $248M
        Jun 26, 2015 to Dec 15, 2015
      • RAUM · $262M to $248M
        Jun 26, 2015 to Dec 15, 2015
      • Succession · true to false
        Jun 26, 2015 to Dec 15, 2015
      • Organization form · Corporation to Limited Liability Company
        Nov 20, 2014 to Jun 26, 2015
      • Discretionary RAUM · $247M to $262M
        Nov 20, 2014 to Jun 26, 2015
      • RAUM · $247M to $262M
        Nov 20, 2014 to Jun 26, 2015
      • Succession · false to true
        Nov 20, 2014 to Jun 26, 2015
      • Discretionary RAUM · $232M to $247M
        Dec 12, 2013 to Nov 20, 2014
      • RAUM · $232M to $247M
        Dec 12, 2013 to Nov 20, 2014
      • Advisory employees · 6 to 7
        Dec 7, 2012 to Dec 12, 2013
      • Employees · 6 to 7
        Dec 7, 2012 to Dec 12, 2013
      • Discretionary RAUM · $224M to $232M
        Dec 7, 2012 to Dec 12, 2013
      • RAUM · $224M to $232M
        Dec 7, 2012 to Dec 12, 2013
      • Advisory employees · unset to 6.0
        Mar 21, 2012 to Dec 7, 2012
      • Employees · unset to 6.0
        Mar 21, 2012 to Dec 7, 2012
      • Discretionary RAUM · $169M to $224M
        Mar 21, 2012 to Dec 7, 2012
      • RAUM · $169M to $224M
        Mar 21, 2012 to Dec 7, 2012
      • Accounts · 2 to 1
        Dec 9, 2011 to Mar 21, 2012
      • Advisory activities · 2 to 1
        Dec 9, 2011 to Mar 21, 2012
      • Discretionary RAUM · $159M to $169M
        Dec 9, 2011 to Mar 21, 2012
      Signals
      2 dated events
      • Douglas Gerald Lanois (Senior Vice President) appeared on Schedule A of R•• A••••••• L••
        Dec 21, 2020 · Control person joined · fact
      • R•• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 26, 2015 · 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