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

C•••••• A•••••••• L••

Former SEC-registered adviserSouthborough, MassachusettsCRD 126748SEC 801-108032IAPD
Latest filing Mar 16, 2021
First filing on the tape Mar 22, 2012 · 13 filings
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$166M as of Mar 16, 2021
Mar 22, 2012$48.1M then
HNW client RAUM$127M as of Mar 16, 2021
Mar 7, 2018$91.8M then
State-registered IARs (5.B.3)2 as of Mar 16, 2021
Mar 22, 20120 then
Employees (5.A)3 as of Mar 16, 2021
Mar 23, 20173 then
Private funds: no history
RAUM +11% over the last fiscal year+7.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
RAUM per advisor
$82.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$724,040derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.3%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
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • High-net-worth individuals$127M77%
  • Individuals$18.8M11%
  • Corporations and businesses$9.7M5.9%
  • Charitable organizations$9.1M5.5%
  • Pension and profit-sharing plans$1.4M0.8%
Individual clients
52reported
HNW clients
50reported
Pension plan clients
1reported
Charitable clients
8reported
Accounts
229reported
Financial planning clients
0reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• G•••• A•••••• · Member, Founder & Chief Compliance Officercontrol
        since 02/2003 · 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 · 213 to 229
        Jun 30, 2020 to Mar 16, 2021
      • Charity clients · 7 to 8
        Jun 30, 2020 to Mar 16, 2021
      • HNW clients · 45 to 50
        Jun 30, 2020 to Mar 16, 2021
      • Pension plan clients · unset to 1.0
        Jun 30, 2020 to Mar 16, 2021
      • Discretionary RAUM · $149M to $166M
        Jun 30, 2020 to Mar 16, 2021
      • HNW RAUM · $114M to $127M
        Jun 30, 2020 to Mar 16, 2021
      • Individual RAUM · $18.1M to $18.8M
        Jun 30, 2020 to Mar 16, 2021
      • Pension RAUM · $2.5M to $1.4M
        Jun 30, 2020 to Mar 16, 2021
      • RAUM · $149M to $166M
        Jun 30, 2020 to Mar 16, 2021
      • Accounts · 210 to 213
        Mar 13, 2019 to Mar 5, 2020
      • Individual clients · 51 to 52
        Mar 13, 2019 to Mar 5, 2020
      • Pension plan clients · 0.0 to unset
        Mar 13, 2019 to Mar 5, 2020
      • Financial planning clients · unset to 0
        Mar 13, 2019 to Mar 5, 2020
      • Other offices · 1 to 0
        Mar 13, 2019 to Mar 5, 2020
      • Discretionary RAUM · $126M to $149M
        Mar 13, 2019 to Mar 5, 2020
      • HNW RAUM · $97.1M to $114M
        Mar 13, 2019 to Mar 5, 2020
      • Individual RAUM · $16.9M to $18.1M
        Mar 13, 2019 to Mar 5, 2020
      • Pension RAUM · $2.3M to $2.5M
        Mar 13, 2019 to Mar 5, 2020
      • RAUM · $126M to $149M
        Mar 13, 2019 to Mar 5, 2020
      • Accounts · 218 to 210
        Mar 7, 2018 to Mar 13, 2019
      • Corporate clients · 1.0 to unset
        Mar 7, 2018 to Mar 13, 2019
      • HNW clients · 33 to 45
        Mar 7, 2018 to Mar 13, 2019
      • Individual clients · 71 to 51
        Mar 7, 2018 to Mar 13, 2019
      • Pension plan clients · 2 to 0
        Mar 7, 2018 to Mar 13, 2019
      • Discretionary RAUM · $133M to $126M
        Mar 7, 2018 to Mar 13, 2019
      • HNW RAUM · $91.8M to $97.1M
        Mar 7, 2018 to Mar 13, 2019
      • Individual RAUM · $27.7M to $16.9M
        Mar 7, 2018 to Mar 13, 2019
      • Pension RAUM · $2.6M to $2.3M
        Mar 7, 2018 to Mar 13, 2019
      • RAUM · $133M to $126M
        Mar 7, 2018 to Mar 13, 2019
      • Accounts · 205 to 218
        Mar 23, 2017 to Mar 7, 2018
      • Charity clients · unset to 7.0
        Mar 23, 2017 to Mar 7, 2018
      • Corporate clients · unset to 1.0
        Mar 23, 2017 to Mar 7, 2018
      • HNW clients · unset to 33.0
        Mar 23, 2017 to Mar 7, 2018
      • Individual clients · unset to 71.0
        Mar 23, 2017 to Mar 7, 2018
      • Pension plan clients · unset to 2.0
        Mar 23, 2017 to Mar 7, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Mar 7, 2018
      • Discretionary RAUM · $118M to $133M
        Mar 23, 2017 to Mar 7, 2018
      • HNW RAUM · unset to 91827329.0
        Mar 23, 2017 to Mar 7, 2018
      • Individual RAUM · unset to 27681273.0
        Mar 23, 2017 to Mar 7, 2018
      Signals
      1 dated events
      • C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2016 · First SEC registration · 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