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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••• H•••••• A•••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Mar 19, 2012 · 18 filings
SEC status approved since Jan 3, 2003
RAUM
$7.3B
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
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$7.3B as of Feb 17, 2026
Mar 19, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 19, 20120 then
Employees (5.A)10 as of Feb 17, 2026
Mar 14, 201316 then
Private funds: no history
RAUM +84% over the last fiscal year+35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2026; 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
- $1.8BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +84%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J••••• H••••• · Director Of Financecontrolsince 04/2006 · owns less than 5%
- C••••••• M••••••• J••••• · Trusteecontrolsince 08/2015 · owns 75% or more
- F•••••• S••••• K•••••• · Chief Compliance Officercontrolsince 03/2010 · owns less than 5%
Entity owners
- T•• M•••••• J• C•••••• 2••• R•••••••• T•••• · Trustdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boston, MA3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 17, 2026RAUM (Item 5.F) moved from $3,962,475,562 to $7,273,866,305 (+84.0%) between the annual amendments of 2025-02-04 and 2026-02-17; the peer median change was +13.0% (631 comparable advisers, 93.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 93% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $4.0B to $7.3BFeb 4, 2025 to Feb 17, 2026
- RAUM · $4.0B to $7.3BFeb 4, 2025 to Feb 17, 2026
- Financial planning clients · unset to Feb 7, 2024 to Feb 4, 2025
- Discretionary RAUM · $3.1B to $4.0BFeb 7, 2024 to Feb 4, 2025
- RAUM · $3.1B to $4.0BFeb 7, 2024 to Feb 4, 2025
- Discretionary RAUM · $2.9B to $3.1BJan 31, 2023 to Feb 7, 2024
- RAUM · $2.9B to $3.1BJan 31, 2023 to Feb 7, 2024
- Advisory activities · 1 to 2Mar 22, 2022 to Jan 31, 2023
- Organization form · Limited Liability Partnership to Limited Liability CompanyMar 22, 2022 to Jan 31, 2023
- Discretionary RAUM · $3.2B to $2.9BMar 22, 2022 to Jan 31, 2023
- RAUM · $3.2B to $2.9BMar 22, 2022 to Jan 31, 2023
- Other offices · 0 to 2Feb 22, 2021 to Mar 22, 2022
- Organization form · Limited Liability Company to Limited Liability PartnershipFeb 22, 2021 to Mar 22, 2022
- Discretionary RAUM · $2.4B to $3.2BFeb 22, 2021 to Mar 22, 2022
- RAUM · $2.4B to $3.2BFeb 22, 2021 to Mar 22, 2022
- BD registered reps · 4 to 2Feb 10, 2020 to Feb 22, 2021
- Employees · 13 to 10Feb 10, 2020 to Feb 22, 2021
- Discretionary RAUM · $2.0B to $2.4BFeb 10, 2020 to Feb 22, 2021
- RAUM · $2.0B to $2.4BFeb 10, 2020 to Feb 22, 2021
- BD registered reps · 5 to 4Feb 19, 2019 to Feb 10, 2020
- Employees · 14 to 13Feb 19, 2019 to Feb 10, 2020
- Discretionary RAUM · $1.9B to $2.0BFeb 19, 2019 to Feb 10, 2020
- RAUM · $1.9B to $2.0BFeb 19, 2019 to Feb 10, 2020
- Employees · 15 to 14Feb 9, 2018 to Feb 19, 2019
- Discretionary RAUM · $2.6B to $1.9BFeb 9, 2018 to Feb 19, 2019
- RAUM · $2.6B to $1.9BFeb 9, 2018 to Feb 19, 2019
- Other offices · unset to 0.0Feb 17, 2017 to Feb 9, 2018
- Discretionary RAUM · $2.8B to $2.6BFeb 17, 2017 to Feb 9, 2018
- RAUM · $2.8B to $2.6BFeb 17, 2017 to Feb 9, 2018
- Discretionary RAUM · $3.0B to $2.8BFeb 10, 2016 to Feb 17, 2017
- RAUM · $3.0B to $2.8BFeb 10, 2016 to Feb 17, 2017
- Discretionary RAUM · $5.7B to $3.0BFeb 17, 2015 to Feb 10, 2016
- RAUM · $5.7B to $3.0BFeb 17, 2015 to Feb 10, 2016
- Discretionary RAUM · $9.7B to $5.7BJan 21, 2014 to Feb 17, 2015
- RAUM · $9.7B to $5.7BJan 21, 2014 to Feb 17, 2015
- BD registered reps · 6 to 5Mar 14, 2013 to Jan 21, 2014
- Employees · 16 to 15Mar 14, 2013 to Jan 21, 2014
- Discretionary RAUM · $17B to $9.7BMar 14, 2013 to Jan 21, 2014
- RAUM · $17B to $9.7BMar 14, 2013 to Jan 21, 2014
- Accounts · 8 to 4Mar 19, 2012 to Mar 14, 2013
Signals
3 dated events
- P•••••• H•••••• A•••• M••••••••• L•• reported RAUM $7.3B, up 84% from $4.0B (2025-02-04 to 2026-02-17)Feb 17, 2026 · RAUM change · derived
- P•••••• H•••••• A•••• M••••••••• L•• reported RAUM $4.0B, up 27% from $3.1B (2024-02-07 to 2025-02-04)Feb 4, 2025 · RAUM change · derived
- P•••••• H•••••• A•••• M••••••••• L•• reported RAUM $3.2B, up 33% from $2.4B (2021-02-22 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
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
- Principal office phone
- 415-398-8000reportedpublic record, Form ADV, Feb 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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