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

N••••••• C••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 128223SEC 801-62668IAPD
Latest filing Jan 18, 2018
First filing on the tape Mar 9, 2012 · 11 filings
RAUM
$33B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$66.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$33B as of Jan 18, 2018
Mar 9, 2012$33B then
HNW client RAUM: $66.9M
State-registered IARs (5.B.3)6 as of Jan 18, 2018
Mar 9, 20120 then
Employees (5.A)9 as of Jan 18, 2018
Mar 7, 20138 then
Private funds: no history
RAUM +90283% over the last fiscal year-14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 18, 2018; every figure names its basis
RAUM per advisor
$5.5BderivedRAUM 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
$2.6BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+90283%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 businesses and institutions, 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$32B96%
  • Pension and profit-sharing plans$1.0B3.1%
  • Corporations and businesses$227M0.7%
  • High-net-worth individuals$66.9M0.2%
  • Charitable organizations$44.0M0.1%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
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
      • A••••••• H•••••• C••••••••• · President, Chief Operations Officercontrol
        since 01/2014 · owns less than 5%
      • A••••••• H•••••• C••••••••• · Presidentcontrol
        since 04/2002 · owns 75% or more of Mjs, International, Inc.
      • D••••••• J••••••••• E••••••• · Presidentcontrol
        since 04/2002 · owns 75% or more of P•• A•••••••• I•••
      • L••••••• J••••• J••• · Presidentcontrol
        since 02/1996 · owns 75% or more of S••••• International Investments, Inc.
      • B••••• S••••• J••••• · Principal, Director Of Research
        since 01/2014 · owns 5% to 10%
      • F••••••• A•••• R••• · Principal, Senior Analyst
        since 01/2017 · owns less than 5%
      • G••••••• L•••• C•••••••• · Chief Compliance Officer
        since 07/2014 · owns less than 5%
      • L•••••• D•••• · Principal, Senior Analyst
        since 01/2017 · owns less than 5%
      Entity owners
      • M•• I••••••••• I••• · Member
        direct · owns 25% to 50%
      • P•• A•••••••• I••• · Member
        direct · owns 25% to 50%
      • S••••• I••••••••• I••••••••• I•• · Member
        direct · owns 25% to 50%
      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 · 14 to 13
        Feb 17, 2017 to Jan 18, 2018
      • Individual clients · unset to 0.0
        Feb 17, 2017 to Jan 18, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 17, 2017 to Jan 18, 2018
      • Other offices · unset to 0.0
        Feb 17, 2017 to Jan 18, 2018
      • Discretionary RAUM · $37B to $33B
        Feb 17, 2017 to Jan 18, 2018
      • HNW RAUM · unset to 66866596.0
        Feb 17, 2017 to Jan 18, 2018
      • Individual RAUM · unset to 0.0
        Feb 17, 2017 to Jan 18, 2018
      • Pension RAUM · unset to 1041794323.0
        Feb 17, 2017 to Jan 18, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 17, 2017 to Jan 18, 2018
      • RAUM · $37B to $33B
        Feb 17, 2017 to Jan 18, 2018
      • Accounts · 20 to 14
        Jan 27, 2016 to Feb 17, 2017
      • Discretionary RAUM · $45B to $36.7M
        Jan 27, 2016 to Feb 17, 2017
      • RAUM · $45B to $36.7M
        Jan 27, 2016 to Feb 17, 2017
      • Discretionary RAUM · $36.7M to $37B
        Feb 17, 2017 to Feb 17, 2017
      • RAUM · $36.7M to $37B
        Feb 17, 2017 to Feb 17, 2017
      • Accounts · 22 to 20
        Jan 16, 2015 to Jan 27, 2016
      • Discretionary RAUM · $52B to $45B
        Jan 16, 2015 to Jan 27, 2016
      • RAUM · $52B to $45B
        Jan 16, 2015 to Jan 27, 2016
      • Accounts · 23 to 22
        Jul 25, 2014 to Jan 16, 2015
      • Advisory employees · 7 to 6
        Jul 25, 2014 to Jan 16, 2015
      • Employees · 10 to 9
        Jul 25, 2014 to Jan 16, 2015
      • Discretionary RAUM · $55B to $52B
        Jul 25, 2014 to Jan 16, 2015
      • RAUM · $55B to $52B
        Jul 25, 2014 to Jan 16, 2015
      • Advisory employees · 6 to 7
        Mar 7, 2013 to Mar 17, 2014
      • Employees · 8 to 10
        Mar 7, 2013 to Mar 17, 2014
      • State-registered IARs · 4 to 6
        Mar 7, 2013 to Mar 17, 2014
      • Discretionary RAUM · $44B to $55B
        Mar 7, 2013 to Mar 17, 2014
      • RAUM · $44B to $55B
        Mar 7, 2013 to Mar 17, 2014
      • Accounts · 17 to 23
        Mar 9, 2012 to Mar 7, 2013
      • Advisory employees · unset to 6.0
        Mar 9, 2012 to Mar 7, 2013
      • Employees · unset to 8.0
        Mar 9, 2012 to Mar 7, 2013
      • State-registered IARs · 0 to 4
        Mar 9, 2012 to Mar 7, 2013
      • Discretionary RAUM · $33B to $44B
        Mar 9, 2012 to Mar 7, 2013
      • RAUM · $33B to $44B
        Mar 9, 2012 to Mar 7, 2013
      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