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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SEC-registered adviser
F•••••••• T•••• I••••••••• L••
Latest filing Dec 22, 2025
First filing on the tape Nov 17, 2011 · 40 filings
SEC status approved since Apr 17, 2003
RAUM
$7.7B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
78%
$6.0B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$548M
derived; firm RAUM over IAPD count
Employees
50
23 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
7
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$7.7B as of Dec 22, 2025
Mar 29, 2012$4.1B then
HNW client RAUM$6.0B as of Dec 22, 2025
Mar 30, 2018$4.3B then
State-registered IARs (5.B.3)14 as of Dec 22, 2025
Mar 28, 201318 then
Employees (5.A)50 as of Dec 22, 2025
Mar 28, 201343 then
Private funds7 as of Dec 22, 2025
Mar 29, 20124 then
RAUM +40% over the last fiscal year+9.6% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Dec 22, 2025; every figure names its basis
Archetypes, each a printed rule
- m•••• family office like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $548MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $97.1MderivedHNW RAUM over HNW clients
- Average account
- $15.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.6derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.3B, 59 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- 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
- High-net-worth individuals$6.0B90%
- Pooled investment vehicles$696M10%
- Individual clients
- 0reported
- HNW clients
- 62reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 483reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.3B for 59 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.09 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••••• M••••••• H••••••••• | Lincoln, Ma | May 12, 2009 | 17 y | 0 |
| T•••• P•••• R••••• | Lincoln, Ma | May 12, 2009 | 18 y | 0 |
| A••• M•••••• P•••Chartered Financial Analyst | Lincoln, Ma | May 9, 2011 | 19 y | 1 |
| E•••• R••••• R••••••• | Lincoln, Ma | Jan 6, 2012 | 14 y | 0 |
| K•••••••• D•••• B••••Chartered Financial Analyst | Lincoln, Ma | Oct 15, 2012 | 11 y | 0 |
| A••• E• S••••••• | Lincoln, Ma | Oct 15, 2012 | 11 y | 0 |
| M•••••• A••• K•••Chartered Financial Analyst | Lincoln, Ma | Mar 4, 2014 | 12 y | 0 |
| J••• M• R•••Chartered Financial Analyst | Lincoln, Ma | Oct 20, 2014 | 11 y | 0 |
| J•••••• S•••• F••••••••Chartered Financial Analyst | Lincoln, Ma | Jul 16, 2015 | 11 y | 0 |
| D•••••• M•••••• C•••• | Lincoln, Ma | Aug 31, 2017 | 14 y | 0 |
| R•••• K••••••• S••••• | New York, Ny | Dec 5, 2017 | 16 y | 0 |
| A••• W•••••• C••••Chartered Financial Analyst | Lincoln, Ma | Sep 17, 2019 | 13 y | 0 |
| B•••••• L•• J•••••• | Lincoln, Ma | Dec 5, 2019 | 11 y | 0 |
| A••• A••••••••• K••••••••• | Lincoln, Ma | Jan 15, 2020 | 11 y | 0 |
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 headcount0 left over 36 months
Left, latest
- T••••••••• G••••••••• B••••••••• to A••••••• A••••••• S•••••••• L••Jan 25, 2022 · RIA to affiliated broker-dealer or bank
- A•• S•• Q•• to R•••••••• M•••••• C•••••• M••••••••• L••Jul 27, 2018 · RIA to RIA
- J•••••• J•••• E•••• to P•••••• A•••••••• L••Feb 27, 2017 · Other
- D••••• R••••• R• A•••••• to U•• F•••••••• S••••••• I•••Jul 26, 2013 · Other
- C••••••• A••••• D•••• to B••••••• F•••••••• P••••••• L••Mar 14, 2013 · Other
- K••••••• R• C••••• to T•• F••••••••Feb 8, 2011 · Other
- D••••• K• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 2, 2010 · Other
- L••••••• F•••••• D••••••• to U•• F•••••••• S••••••• I•••Jun 26, 2008 · Other
- J••• J•••• E•••••• to L••• S••••• A•••••••• L••May 9, 2007 · Other
- M•••••• P••••••• C••••••• to B••••••••• F••• • C• I••Jan 22, 2007 · Other
Joined, latest
- A•• S•• Q•• from M••••• S••••••Feb 29, 2016 · Other
- A••• M•••••• P••• from C••••••• A•••• M••••••••• L••May 9, 2011 · Other
- K••••••• R• C••••• from S••••• B•••••Jan 26, 2009 · Other
- D••••• K• J•••• from F• L• P••••• I••••••••• M••••••••• C••Nov 28, 2008 · Other
- L••••••• F•••••• D••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 22, 2007 · Other
- M•••••• P••••••• C••••••• from V•••••••• L•Sep 2, 2004 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• S••••• F••• L•• | Other Private Fund | $262M | 70 | Mar 6, 2015 |
| A••••• S••••• P•••••• I••••••••• F••• L•• | Other Private Fund | $170M | 87 | Mar 6, 2015 |
| A••••• A•••• I•••••••• H•••••••• L• | Other Private Fund | $123M | 24 | Mar 29, 2012 |
| F•••••••• T•••• I••••••••• P•••••• E••••• A••••• P•••••• L• | Other Private Fund | $94.5M | 38 | Mar 30, 2022 |
| A••••• S••••••••• P••••••• L•no longer reported | Hedge Fund | $40.5M | 6 | Feb 9, 2012 |
| A••••• C••••••• V••••• F••• L• | Hedge Fund | $36.5M | 2 | Mar 6, 2015 |
| A••••• O•••• T••• M•••• A•••• F••• L•no longer reported | Hedge Fund | $18.9M | 7 | Mar 29, 2012 |
| A••••• S••••• R••• E••••• I••••••••• F••• L•• | Other Private Fund | $9.6M | 31 | Mar 6, 2015 |
| A••••• S••••••••• F•••• L••no longer reported | Hedge Fund | $2.3M | 3 | Feb 9, 2012 |
| A••••• C•• V•• L••no longer reported | Private Equity Fund | $2.2M | 8 | Mar 6, 2015 |
| F•••••• S••••• P••••••• | Other Private Fund | $0 | 5 | Mar 6, 2015 |
| A••••• C•••••• R••••• V• L••no longer reported | Other Private Fund | $0 | 0 | Mar 6, 2015 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• K••••••••• · Managing Directorcontrolsince 02/2015 · owns less than 5%
- S••••••• A•••• B••••••• · Chief Executive Officer Of F•••••••• T•••• C•••••• I•••••••••controlsince 07/2025 · owns less than 5%
- S••••••• A••• C•••••••• · Managing Directorcontrolsince 03/2020 · owns less than 5%
- T••••• A••• M•••• · Regional Managing Directorcontrolsince 01/2010 · owns less than 5%
- G••••••• R••••••• E•••• · Chief Compliance Officersince 12/2021 · owns less than 5%
Entity owners
- F•••••••• I••••••••• · Memberdirect · owns 75% or more
- F•••••••• I••••••••• H••••••• I••• · Memberdirect · owns 75% or more
- F•••••••• T•••• C•••••• I••••••••• · Shareholderindirect · owns 75% or more of F•••••••• I••••••••• H••••••• I•••
- F••••••• R••••••••• I••• · Shareholderindirect · owns 75% or more of F•••••••• T•••• C•••••• I••••••••• · public reporting company
Related persons
Schedule D 7.A
- A••••• A•••• I•••••••• G• L••pooled vehicle sponsory
- A••••• C••••••• V••••• G• L••pooled vehicle sponsory
- B•••••• S••••• P••••••• L•••••investment adviserbanknRAUM $28B
- C•••••• P•••••••broker-dealerinvestment advisernRAUM $74B
- F•••••••• T•••• C•••••• I•••••••••custodiany
- F•••••••• T•••• C•••••• I••••••••• O• P•••••••••n
- F•••••••• T•••• C•••••• O• C•••••investment advisern
- F•••••••• T•••• I••••••••• O• C•••••••••n
- F•••••••• T•••• I••••••••• O• D•••••••n
- F•••••••• T•••• I••••••••• O• T•• S••••n
- F•••••••• T•••• I••••••••• P•••••• E••••• A••••• P•••••• G• L••pooled vehicle sponsory
- F••••••• A•••••••• I•••investment adviserbanknRAUM $509B
- F••••••• D••••••••• L••broker-dealern
- K••••• M••••••••• C••• L•••••investment adviserbanknRAUM $6.5B
- L•••••••• P••••••• L•••investment adviserbanknRAUM $79B
- O••••••••• A•••• M••••••••• L••investment advisernRAUM $20B
- P••••• I••••••••• M••••••••• L••investment adviserbanknRAUM $117B
Advisers that list F•••••••• T•••• I••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lincoln, Ma · principal | 14 | 0 | 0 | ||
| New York, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY10 employees
- San Mateo, CA1 employees
- Boca Raton, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Dec 22, 2025S••••••• A•••• B••••••• (CHIEF EXECUTIVE OFFICER OF F•••••••• T•••• C•••••• I•••••••••) appeared on Schedule A between the filings of 2021-12-10 and 2025-12-22peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 469 to 483Feb 10, 2025 to Dec 22, 2025
- Advisory employees · 25 to 23Feb 10, 2025 to Dec 22, 2025
- BD registered reps · 8 to 7Feb 10, 2025 to Dec 22, 2025
- HNW clients · 59 to 62Feb 10, 2025 to Dec 22, 2025
- Assets in custody · $3.3B to $4.3BFeb 10, 2025 to Dec 22, 2025
- Discretionary RAUM · $5.8B to $7.1BFeb 10, 2025 to Dec 22, 2025
- HNW RAUM · $4.7B to $6.0BFeb 10, 2025 to Dec 22, 2025
- Non-discretionary RAUM · $525M to $550MFeb 10, 2025 to Dec 22, 2025
- Pooled vehicle RAUM · $673M to $696MFeb 10, 2025 to Dec 22, 2025
- RAUM · $6.3B to $7.7BFeb 10, 2025 to Dec 22, 2025
- Financial planning clients · 26-50 to 26-50Dec 23, 2024 to Feb 10, 2025
- Pooled vehicle RAUM · $656M to $673MFeb 12, 2024 to Dec 23, 2024
- RAUM · $5.5B to $6.3BFeb 12, 2024 to Dec 23, 2024
- Accounts · 491 to 469Feb 12, 2024 to Dec 23, 2024
- Advisory employees · 22 to 25Feb 12, 2024 to Dec 23, 2024
- BD registered reps · 5 to 8Feb 12, 2024 to Dec 23, 2024
- HNW clients · 53 to 59Feb 12, 2024 to Dec 23, 2024
- Assets in custody · $2.5B to $3.3BFeb 12, 2024 to Dec 23, 2024
- Employees · 46 to 50Feb 12, 2024 to Dec 23, 2024
- Discretionary RAUM · $5.0B to $5.8BFeb 12, 2024 to Dec 23, 2024
- HNW RAUM · $3.9B to $4.7BFeb 12, 2024 to Dec 23, 2024
- Non-discretionary RAUM · $477M to $525MFeb 12, 2024 to Dec 23, 2024
- Private funds · 8 to 7Dec 22, 2023 to Feb 12, 2024
- Accounts · 471 to 491Sep 28, 2023 to Dec 22, 2023
- Advisory employees · 23 to 22Sep 28, 2023 to Dec 22, 2023
- HNW clients · 46 to 53Sep 28, 2023 to Dec 22, 2023
- Pooled vehicle clients · 8 to 7Sep 28, 2023 to Dec 22, 2023
- Assets in custody · $2.8B to $2.5BSep 28, 2023 to Dec 22, 2023
- Employees · 48 to 46Sep 28, 2023 to Dec 22, 2023
- State-registered IARs · 16 to 14Sep 28, 2023 to Dec 22, 2023
- Discretionary RAUM · $4.8B to $5.0BSep 28, 2023 to Dec 22, 2023
- HNW RAUM · $3.8B to $3.9BSep 28, 2023 to Dec 22, 2023
- Non-discretionary RAUM · $419M to $477MSep 28, 2023 to Dec 22, 2023
- Pooled vehicle RAUM · $658M to $656MSep 28, 2023 to Dec 22, 2023
- RAUM · $5.2B to $5.5BSep 28, 2023 to Dec 22, 2023
- Other offices · 2 to 3Dec 22, 2022 to Sep 28, 2023
- Accounts · 499 to 471Sep 21, 2022 to Dec 22, 2022
- Advisory employees · 37 to 23Sep 21, 2022 to Dec 22, 2022
- BD registered reps · 4 to 5Sep 21, 2022 to Dec 22, 2022
- HNW clients · 44 to 46Sep 21, 2022 to Dec 22, 2022
Signals
22 dated events
- Howard John Tyler (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Lawrence Leonard Lewin (Executive Vice President) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Perry Tyler Rodday (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Roscoe Erick Rawlings (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- M•••••• Douglas Cohen (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- B Bethanie Bullock (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Duffy Katherine Burke (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2023-09-28, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Scott Lisette Cooper (Vice Chair) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2022-12-22, absent 2023-09-28)Sep 28, 2023 · Control person left · inference
- Duffy Katherine Burke (Managing Director) appeared on Schedule A of F•••••••• T•••• I••••••••• L••Dec 22, 2022 · Control person joined · fact
- M•••••• A••• P••• (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2022-09-21, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- T••••••••• G••••••••• B••••••••• left F•••••••• T•••• I••••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2022-01-24)Jan 25, 2022 · Advisor changed firm · fact
- Beth Lehman (Counsel & Chief Compliance Officer) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2021-03-31, absent 2021-12-10)Dec 10, 2021 · Control person left · inference
- Elise Rebecca Gompper (Chief Compliance Officer) appeared on Schedule A of F•••••••• T•••• I••••••••• L••Dec 10, 2021 · Control person joined · fact
- Robert Stephen Karp (Managing Member) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-07-31, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- F W•••••• Mccalpin (Managing Partner) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-07-31, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- Carl Douglas Grip (Managing Member) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-07-31, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- Adam Todd Burchett (Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-07-31, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- Alan Philip Cooper (Member) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-07-31, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- Beth Lehman (Deputy General Counsel & Chief Compliance Officer) appeared on Schedule A of F•••••••• T•••• I••••••••• L••Jul 31, 2019 · Control person joined · fact
- Keith Dana O'Brien (General Counsel, Chief Compliance Officer) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2019-03-29, absent 2019-04-29)Apr 29, 2019 · Control person left · inference
- Alan Philip Cooper (Member) appeared on Schedule A of F•••••••• T•••• I••••••••• L••Mar 29, 2019 · Control person joined · fact
- Ann Melissa Mattison (Chief Operating Officer, Managing Director) no longer on Schedule A of F•••••••• T•••• I••••••••• L•• (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- F•••••••• T•••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 781-274-9300reportedpublic record, Form ADV, Dec 22, 2025
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
- Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $548Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
F•••••••• T•••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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