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Former SEC-registered adviserFormer SEC adviser· Wellesley, Massachusetts

Former SEC-registered adviser, based in Wellesley, Massachusetts, reporting $462M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$462M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-14%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $462M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 18 Form ADV filings for this adviser, the latest 3.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 129805 · SEC 801-69302 · 18 filingsShow
CRD 129805SEC 801-69302First filing on the tape Mar 19, 2012, latest Mar 30, 2023IAPD
RAUM
$462M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$462M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$462M as of Mar 30, 2023
Mar 19, 2012$209M then
HNW client RAUM$413M as of Mar 30, 2023
Mar 22, 2018$338M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 19, 20120 then
Employees (5.A)7 as of Mar 30, 2023
Mar 15, 20134 then
Private funds: no history
RAUM -14% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$462MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
301derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$395,130derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$462MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$413M89%
  • Individuals$49.4M11%
Individual clients
103reported
HNW clients
198reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,169reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • P•••••• J•••• M•••••• · President And Chief Compliance Officercontrol
      since 01/2004 · 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 · 1,105 to 1,169
      Aug 29, 2022 to Mar 30, 2023
    • HNW clients · 190 to 198
      Aug 29, 2022 to Mar 30, 2023
    • Individual clients · 105 to 103
      Aug 29, 2022 to Mar 30, 2023
    • Discretionary RAUM · $536M to $462M
      Aug 29, 2022 to Mar 30, 2023
    • HNW RAUM · $477M to $413M
      Aug 29, 2022 to Mar 30, 2023
    • Individual RAUM · $59.6M to $49.4M
      Aug 29, 2022 to Mar 30, 2023
    • RAUM · $536M to $462M
      Aug 29, 2022 to Mar 30, 2023
    • Accounts · 285 to 1,105
      Nov 4, 2021 to Mar 29, 2022
    • HNW clients · 178 to 190
      Nov 4, 2021 to Mar 29, 2022
    • Individual clients · 107 to 105
      Nov 4, 2021 to Mar 29, 2022
    • Employees · 6 to 7
      Nov 4, 2021 to Mar 29, 2022
    • Discretionary RAUM · $452M to $536M
      Nov 4, 2021 to Mar 29, 2022
    • HNW RAUM · $398M to $477M
      Nov 4, 2021 to Mar 29, 2022
    • Individual RAUM · $54.3M to $59.6M
      Nov 4, 2021 to Mar 29, 2022
    • RAUM · $452M to $536M
      Nov 4, 2021 to Mar 29, 2022
    • Accounts · 270 to 285
      Jun 26, 2020 to Mar 28, 2021
    • HNW clients · 163 to 178
      Jun 26, 2020 to Mar 28, 2021
    • Discretionary RAUM · $418M to $452M
      Jun 26, 2020 to Mar 28, 2021
    • HNW RAUM · $353M to $398M
      Jun 26, 2020 to Mar 28, 2021
    • Individual RAUM · $64.2M to $54.3M
      Jun 26, 2020 to Mar 28, 2021
    • RAUM · $418M to $452M
      Jun 26, 2020 to Mar 28, 2021
    • HNW clients · 157 to 163
      Nov 14, 2019 to Mar 29, 2020
    • Individual clients · 113 to 107
      Nov 14, 2019 to Mar 29, 2020
    • Employees · 5 to 6
      Nov 14, 2019 to Mar 29, 2020
    • Discretionary RAUM · $363M to $418M
      Nov 14, 2019 to Mar 29, 2020
    • HNW RAUM · $298M to $353M
      Nov 14, 2019 to Mar 29, 2020
    • Individual RAUM · $64.8M to $64.2M
      Nov 14, 2019 to Mar 29, 2020
    • RAUM · $363M to $418M
      Nov 14, 2019 to Mar 29, 2020
    • Accounts · 363 to 270
      Mar 22, 2018 to Mar 20, 2019
    • HNW clients · 179 to 157
      Mar 22, 2018 to Mar 20, 2019
    • Individual clients · 84 to 113
      Mar 22, 2018 to Mar 20, 2019
    • Employees · 4 to 5
      Mar 22, 2018 to Mar 20, 2019
    • Discretionary RAUM · $395M to $363M
      Mar 22, 2018 to Mar 20, 2019
    • HNW RAUM · $338M to $298M
      Mar 22, 2018 to Mar 20, 2019
    • Individual RAUM · $57.5M to $64.8M
      Mar 22, 2018 to Mar 20, 2019
    • RAUM · $395M to $363M
      Mar 22, 2018 to Mar 20, 2019
    • Accounts · 261 to 363
      Mar 14, 2017 to Mar 22, 2018
    • HNW clients · unset to 179.0
      Mar 14, 2017 to Mar 22, 2018
    • Individual clients · unset to 84.0
      Mar 14, 2017 to Mar 22, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Mar 22, 2018
    Signals
    1 dated events
    • ••• Locked
      Jul 19, 2023 · Advisor changed firm · 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