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

P••••••••• A••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 125304SEC 801-61867IAPD
Latest filing Dec 9, 2014
First filing on the tape Dec 20, 2011 · 5 filings
RAUM
$628M
reported, Item 5.F
Discretionary
24%
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$628M as of Apr 1, 2014
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 1, 2014
Apr 1, 20132 then
Employees (5.A)4 as of Apr 1, 2014
Apr 1, 20135 then
Private funds: no history
RAUM +9.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Dec 9, 2014; every figure names its basis
RAUM per advisor
$314MderivedRAUM 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
$4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
150reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••• G••••• E•••• · President, Manager & Ccocontrol
    since 12/2014 · owns less than 5%
Entity owners
  • E•••••• W•••••• P••••• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 151 to 150
    Apr 1, 2013 to Apr 1, 2014
  • Employees · 5 to 4
    Apr 1, 2013 to Apr 1, 2014
  • Discretionary RAUM · $127M to $148M
    Apr 1, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $446M to $480M
    Apr 1, 2013 to Apr 1, 2014
  • RAUM · $574M to $628M
    Apr 1, 2013 to Apr 1, 2014
  • Accounts · 289 to 151
    Mar 30, 2012 to Apr 1, 2013
  • Advisory employees · unset to 2.0
    Mar 30, 2012 to Apr 1, 2013
  • Employees · unset to 5.0
    Mar 30, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 2.0
    Mar 30, 2012 to Apr 1, 2013
  • Discretionary RAUM · $175M to $127M
    Mar 30, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $894M to $446M
    Mar 30, 2012 to Apr 1, 2013
  • RAUM · $1.1B to $574M
    Mar 30, 2012 to Apr 1, 2013
  • Discretionary RAUM · $188M to $175M
    Dec 20, 2011 to Mar 30, 2012
  • Non-discretionary RAUM · $945M to $894M
    Dec 20, 2011 to Mar 30, 2012
  • RAUM · $1.1B to $1.1B
    Dec 20, 2011 to Mar 30, 2012
Signals
No event on the tape.
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