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

E•••• F•••••••• A•••••••• I•••

Former SEC-registered adviserTopsfield, MassachusettsCRD 128826SEC 801-108013IAPD
Latest filing Apr 23, 2018
First filing on the tape Feb 28, 2012 · 10 filings
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$147M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$151M as of Mar 15, 2018
Feb 28, 2012$72.1M then
HNW client RAUM: $107M
State-registered IARs (5.B.3)1 as of Mar 15, 2018
Feb 28, 20120 then
Employees (5.A)3 as of Mar 15, 2018
Mar 7, 20172 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 23, 2018; every figure names its basis
RAUM per advisor
$151MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
166derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$359,575derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$107M71%
  • Individuals$39.7M26%
  • Pension and profit-sharing plans$2.4M1.6%
  • Charitable organizations$1.8M1.2%
Individual clients
131reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
421reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • B•••••• D••••• E••••• · President Chief Compliance Officer And Managing Membercontrol
      since 02/2018 · owns less than 5%
    • W•••••••• B••••• A••••• · Membercontrol
      since 12/2009 · owns 75% or more of H•••••••• C•••••• G•••• I•••
    Entity owners
    • H•••••••• C•••••• G•••• I••• · 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
    • Business name · E•••• F•••••••• A•••••••• L••••• to E•••• F•••••••• A•••••••• I•••
      Mar 15, 2018 to Apr 23, 2018
    • Legal name · E•••• F•••••••• A•••••••• L••••• to E•••• F•••••••• A•••••••• I•••
      Mar 15, 2018 to Apr 23, 2018
    • Succession · true to false
      Mar 15, 2018 to Apr 23, 2018
    • Accounts · 402 to 421
      Mar 7, 2017 to Mar 15, 2018
    • HNW clients · unset to 35.0
      Mar 7, 2017 to Mar 15, 2018
    • Individual clients · unset to 131.0
      Mar 7, 2017 to Mar 15, 2018
    • Assets in custody · $13.0M to $13.4M
      Mar 7, 2017 to Mar 15, 2018
    • Employees · 2 to 3
      Mar 7, 2017 to Mar 15, 2018
    • Financial planning clients · 1-10 to 51-100
      Mar 7, 2017 to Mar 15, 2018
    • Other offices · unset to 0.0
      Mar 7, 2017 to Mar 15, 2018
    • Organization form · Limited Liability Company to Corporation
      Mar 7, 2017 to Mar 15, 2018
    • Discretionary RAUM · $120M to $151M
      Mar 7, 2017 to Mar 15, 2018
    • HNW RAUM · unset to 107463662.0
      Mar 7, 2017 to Mar 15, 2018
    • Individual RAUM · unset to 39666847.0
      Mar 7, 2017 to Mar 15, 2018
    • Pension RAUM · unset to 2415132.0
      Mar 7, 2017 to Mar 15, 2018
    • RAUM · $120M to $151M
      Mar 7, 2017 to Mar 15, 2018
    • Succession · false to true
      Mar 7, 2017 to Mar 15, 2018
    • Accounts · 142 to 402
      Jun 27, 2016 to Mar 7, 2017
    • Assets in custody · $12.6M to $13.0M
      Jun 27, 2016 to Mar 7, 2017
    • Discretionary RAUM · $110M to $120M
      Jun 27, 2016 to Mar 7, 2017
    • RAUM · $110M to $120M
      Jun 27, 2016 to Mar 7, 2017
    • Accounts · 254 to 142
      Jun 13, 2012 to Jun 16, 2016
    • Advisory employees · unset to 1.0
      Jun 13, 2012 to Jun 16, 2016
    • Assets in custody · unset to 12605128.0
      Jun 13, 2012 to Jun 16, 2016
    • Employees · unset to 2.0
      Jun 13, 2012 to Jun 16, 2016
    • State-registered IARs · 0 to 1
      Jun 13, 2012 to Jun 16, 2016
    • Discretionary RAUM · $71.3M to $110M
      Jun 13, 2012 to Jun 16, 2016
    • Non-discretionary RAUM · $714,805 to $0
      Jun 13, 2012 to Jun 16, 2016
    • RAUM · $72.1M to $110M
      Jun 13, 2012 to Jun 16, 2016
    Signals
    2 dated events
    • E•••• F•••••••• A•••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 15, 2018 · Succession (Item 4) · fact
    • E•••• F•••••••• A•••••••• L••••• filed its initial SEC registration (Form ADV)
      Jun 16, 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