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
B••••• F•••••••• P•••••••• I•••
Latest filing Aug 2, 2019
First filing on the tape Sep 28, 2018 · 3 filings
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$138M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$143M as of Aug 2, 2019
Sep 28, 2018$144M then
HNW client RAUM$74.0M as of Aug 2, 2019
Sep 28, 2018$74.7M then
State-registered IARs (5.B.3)4 as of Aug 2, 2019
Sep 28, 20184 then
Employees (5.A)6 as of Aug 2, 2019
Sep 28, 20186 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 2, 2019; every figure names its basis
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $223,058derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $1.2M, 142 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$74.0M52%
- Individuals$63.6M44%
- Pension and profit-sharing plans$5.1M3.5%
- Charitable organizations$547,9690.4%
- Individual clients
- 217reported
- HNW clients
- 37reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 642reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 142 clientsreported
- Compensation
- % of AUM, 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
Left, latest
- L••••• G•••••••• L•••••• to C•••••• P••••••• A••••••••• I•••Jun 14, 2005 · RIA to RIA
Joined, latest
- L••••• G•••••••• L•••••• from P•• A•••••••• L••Sep 29, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• L••••• B••••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- H••••••• W•••••• K•••••• · Director, President, Secretarycontrolsince 01/2005 · owns 75% or more
- D••••••••• P••••• L•• · Treasurersince 02/2005 · owns less than 5%
Related persons
Schedule D 7.A
- B••••• Financial P•••••••, Incinvestment advisernRAUM $397M
- R•••• U•••••••insurancey
- S••••• T• H••••••y
Offices
Schedule D 1.F, the 25 largest
- Boston, MA4 employees
- Hyannis, MA4 employees
- Walpole, MA4 employees
- Wellesley Hills, MA4 employees
What changed
consecutive filings, newest first
- Accounts · 672 to 642Sep 28, 2018 to Mar 7, 2019
- Charity clients · unset to 2.0Sep 28, 2018 to Mar 7, 2019
- HNW clients · 38 to 37Sep 28, 2018 to Mar 7, 2019
- Individual clients · 194 to 217Sep 28, 2018 to Mar 7, 2019
- Pension plan clients · unset to 5.0Sep 28, 2018 to Mar 7, 2019
- Assets in custody · $87.5M to $1.2MSep 28, 2018 to Mar 7, 2019
- Insurance-licensed employees · 2 to 3Sep 28, 2018 to Mar 7, 2019
- Financial planning clients · 101-250 to 251-500Sep 28, 2018 to Mar 7, 2019
- Discretionary RAUM · $144M to $143MSep 28, 2018 to Mar 7, 2019
- HNW RAUM · $74.7M to $74.0MSep 28, 2018 to Mar 7, 2019
- Individual RAUM · $63.4M to $63.6MSep 28, 2018 to Mar 7, 2019
- Pension RAUM · $4.9M to $5.1MSep 28, 2018 to Mar 7, 2019
- RAUM · $144M to $143MSep 28, 2018 to Mar 7, 2019
Signals
2 dated events
- Barnes Linda G•••••••• (Chief Compliance Officer) appeared on Schedule A of B••••• F•••••••• P•••••••• I•••Aug 2, 2019 · Control person joined · fact
- B••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Sep 28, 2018 · 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