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

F••••••• F•••••••• A••••••••• I•••

Former SEC-registered adviserPeabody, MassachusettsCRD 128666SEC 801-77448IAPD
Latest filing Mar 1, 2022
First filing on the tape Dec 3, 2012 · 20 filings
RAUM
$583M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$583M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$583M as of Mar 1, 2022
Mar 15, 2013$130M then
HNW client RAUM$444M as of Mar 1, 2022
Jan 29, 2018$195M then
State-registered IARs (5.B.3)3 as of Mar 1, 2022
Mar 15, 20132 then
Employees (5.A)6 as of Mar 1, 2022
Mar 15, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 1, 2022; every figure names its basis
RAUM per advisor
$194MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
163derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$513,852derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Wrap fee program
$583MreportedItem 5.I
Custody
$259M, 221 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$444M76%
  • Individuals$139M24%
Individual clients
314reported
HNW clients
176reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,134reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$259M for 221 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • F•••••••• M•••• S••••• · President And Ccocontrol
      since 01/1997 · owns 75% or more
    • G•••••• M•••••• B•••••• · Executive Vice President
      since 01/2012 · owns 10% to 25%
    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 · 1,059 to 1,134
      Sep 13, 2021 to Mar 1, 2022
    • HNW clients · 149 to 176
      Sep 13, 2021 to Mar 1, 2022
    • Individual clients · 310 to 314
      Sep 13, 2021 to Mar 1, 2022
    • Assets in custody · $229M to $259M
      Sep 13, 2021 to Mar 1, 2022
    • Employees · 5 to 6
      Sep 13, 2021 to Mar 1, 2022
    • Discretionary RAUM · $475M to $583M
      Sep 13, 2021 to Mar 1, 2022
    • HNW RAUM · $344M to $444M
      Sep 13, 2021 to Mar 1, 2022
    • Individual RAUM · $131M to $139M
      Sep 13, 2021 to Mar 1, 2022
    • RAUM · $475M to $583M
      Sep 13, 2021 to Mar 1, 2022
    • Assets in custody · unset to 229140509.0
      Feb 25, 2021 to Sep 13, 2021
    • Custody of client assets · false to true
      Feb 25, 2021 to Sep 13, 2021
    • Accounts · 1,008 to 1,059
      Jun 30, 2020 to Feb 25, 2021
    • HNW clients · 129 to 149
      Jun 30, 2020 to Feb 25, 2021
    • Individual clients · 319 to 310
      Jun 30, 2020 to Feb 25, 2021
    • Discretionary RAUM · $395M to $475M
      Jun 30, 2020 to Feb 25, 2021
    • HNW RAUM · $265M to $344M
      Jun 30, 2020 to Feb 25, 2021
    • Individual RAUM · $130M to $131M
      Jun 30, 2020 to Feb 25, 2021
    • RAUM · $395M to $475M
      Jun 30, 2020 to Feb 25, 2021
    • Accounts · 983 to 1,008
      Feb 25, 2019 to Feb 6, 2020
    • HNW clients · 115 to 129
      Feb 25, 2019 to Feb 6, 2020
    • Individual clients · 332 to 319
      Feb 25, 2019 to Feb 6, 2020
    • State-registered IARs · 2 to 3
      Feb 25, 2019 to Feb 6, 2020
    • Discretionary RAUM · $322M to $395M
      Feb 25, 2019 to Feb 6, 2020
    • HNW RAUM · $203M to $265M
      Feb 25, 2019 to Feb 6, 2020
    • Individual RAUM · $119M to $130M
      Feb 25, 2019 to Feb 6, 2020
    • RAUM · $322M to $395M
      Feb 25, 2019 to Feb 6, 2020
    • Accounts · 907 to 983
      Jan 29, 2018 to Feb 25, 2019
    • BD registered reps · 2 to 3
      Jan 29, 2018 to Feb 25, 2019
    • HNW clients · 104 to 115
      Jan 29, 2018 to Feb 25, 2019
    • Individual clients · 321 to 332
      Jan 29, 2018 to Feb 25, 2019
    • Employees · 6 to 5
      Jan 29, 2018 to Feb 25, 2019
    • Discretionary RAUM · $322M to $322M
      Jan 29, 2018 to Feb 25, 2019
    • HNW RAUM · $195M to $203M
      Jan 29, 2018 to Feb 25, 2019
    • Individual RAUM · $126M to $119M
      Jan 29, 2018 to Feb 25, 2019
    • RAUM · $322M to $322M
      Jan 29, 2018 to Feb 25, 2019
    • Accounts · 884 to 907
      Sep 7, 2017 to Jan 29, 2018
    • HNW clients · unset to 104.0
      Sep 7, 2017 to Jan 29, 2018
    • Individual clients · unset to 321.0
      Sep 7, 2017 to Jan 29, 2018
    • Employees · 5 to 6
      Sep 7, 2017 to Jan 29, 2018
    • Insurance-licensed employees · 1 to 0
      Sep 7, 2017 to Jan 29, 2018
    Signals
    5 dated events
    • C•••••••• M•••••• K•••••• left F••••••• F•••••••• A••••••••• I••• for L•• F•••••••• L•• (registered 2022-04-25)
      May 27, 2022 · Advisor changed firm · fact
    • M••• S••••• F••••••• left F••••••• F•••••••• A••••••••• I••• for L•• F•••••••• L•• (registered 2022-04-25)
      May 27, 2022 · Advisor changed firm · fact
    • M••••• B•••••• G••••• left F••••••• F•••••••• A••••••••• I••• for L•• F•••••••• L•• (registered 2022-04-25)
      May 27, 2022 · Advisor changed firm · fact
    • F••••••• F•••••••• A••••••••• I•••'s advisors moved to L•• F•••••••• L•• (Peabody, MA): 3 of 3 registered, on the same day
      May 27, 2022 · Firm absorbed (people side) · derived
    • F••••••• F•••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)
      Dec 3, 2012 · 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