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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 130282SEC 801-62860IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$670M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$670M as of Mar 30, 2017
Mar 30, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)13 as of Mar 30, 2017
Apr 1, 201336 then
Private funds3 as of Mar 31, 2015
Mar 30, 20124 then
RAUM -25% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$83.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$8.4M36Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••••• A••••••••• L••••• · Managing Partner & Director, Class A (Voting)control
        since 01/2004 · owns 50% to 75%
      • C•••••••• K••••• W•••••• · Member, Class A (Non-Voting)
        since 06/2004 · owns 10% to 25%
      • S••••• J••••• A•• · Chief Compliance Officer
        since 01/2017 · owns less than 5%
      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 · 15 to 8
        Jan 20, 2017 to Mar 30, 2017
      • Advisory employees · 8 to 7
        Jan 20, 2017 to Mar 30, 2017
      • BD registered reps · 3 to 1
        Jan 20, 2017 to Mar 30, 2017
      • Employees · 18 to 13
        Jan 20, 2017 to Mar 30, 2017
      • Discretionary RAUM · $895M to $670M
        Jan 20, 2017 to Mar 30, 2017
      • RAUM · $895M to $670M
        Jan 20, 2017 to Mar 30, 2017
      • Accounts · 17 to 15
        Jan 11, 2016 to Mar 28, 2016
      • Advisory employees · 21 to 8
        Jan 11, 2016 to Mar 28, 2016
      • Employees · 32 to 18
        Jan 11, 2016 to Mar 28, 2016
      • Discretionary RAUM · $2.1B to $895M
        Jan 11, 2016 to Mar 28, 2016
      • RAUM · $2.1B to $895M
        Jan 11, 2016 to Mar 28, 2016
      • Private funds · 3 to unset
        Mar 31, 2015 to Jan 11, 2016
      • Accounts · 23 to 17
        Jun 18, 2014 to Mar 31, 2015
      • Advisory employees · 17 to 21
        Jun 18, 2014 to Mar 31, 2015
      • BD registered reps · 2 to 3
        Jun 18, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.0B to $2.1B
        Jun 18, 2014 to Mar 31, 2015
      • RAUM · $3.0B to $2.1B
        Jun 18, 2014 to Mar 31, 2015
      • Accounts · 50 to 23
        Dec 24, 2013 to Mar 28, 2014
      • Advisory employees · 19 to 17
        Dec 24, 2013 to Mar 28, 2014
      • BD registered reps · 3 to 2
        Dec 24, 2013 to Mar 28, 2014
      • Employees · 36 to 32
        Dec 24, 2013 to Mar 28, 2014
      • Discretionary RAUM · $3.3B to $3.0B
        Dec 24, 2013 to Mar 28, 2014
      • RAUM · $3.3B to $3.0B
        Dec 24, 2013 to Mar 28, 2014
      • Accounts · 47 to 50
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 19.0
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 36.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · 4 to 3
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $2.9B to $3.3B
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $2.9B to $3.3B
        Mar 30, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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