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

S•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserDover, MassachusettsCRD 130452SEC 801-66463IAPD
Latest filing Oct 16, 2013
First filing on the tape Feb 22, 2012 · 8 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$44.0M as of Mar 18, 2013
Feb 22, 2012$40.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 18, 2013
Feb 22, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Oct 16, 2013; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
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
0reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• S••••• B•••• · Presidentcontrol
    since 01/2004 · owns 75% or more
  • S••••••• W••••••• A•••• · Vice President / Chief Compliance Officercontrol
    since 01/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • ,
What changed
consecutive filings, newest first
  • Accounts · 290 to 0
    Mar 18, 2013 to Oct 16, 2013
  • HQ city · CHATHAM to DOVER
    Mar 18, 2013 to Oct 16, 2013
  • HQ state · NY to MA
    Mar 18, 2013 to Oct 16, 2013
  • Discretionary RAUM · $32.3M to $0
    Mar 18, 2013 to Oct 16, 2013
  • Non-discretionary RAUM · $11.7M to $0
    Mar 18, 2013 to Oct 16, 2013
  • RAUM · $44.0M to $0
    Mar 18, 2013 to Oct 16, 2013
  • Related adviser · false to true
    Mar 18, 2013 to Oct 16, 2013
  • Accounts · 278 to 290
    Oct 12, 2012 to Mar 18, 2013
  • Advisory employees · unset to 1.0
    Oct 12, 2012 to Mar 18, 2013
  • Employees · unset to 2.0
    Oct 12, 2012 to Mar 18, 2013
  • HQ city · unset to CHATHAM
    Oct 12, 2012 to Mar 18, 2013
  • HQ state · unset to NY
    Oct 12, 2012 to Mar 18, 2013
  • State-registered IARs · 0 to 1
    Oct 12, 2012 to Mar 18, 2013
  • Discretionary RAUM · $34.5M to $32.3M
    Oct 12, 2012 to Mar 18, 2013
  • Non-discretionary RAUM · $5.7M to $11.7M
    Oct 12, 2012 to Mar 18, 2013
  • RAUM · $40.2M to $44.0M
    Oct 12, 2012 to Mar 18, 2013
  • HQ city · CHATHAM to unset
    Oct 11, 2012 to Oct 12, 2012
  • HQ state · NY to unset
    Oct 11, 2012 to Oct 12, 2012
  • HQ city · NEEDHAM to CHATHAM
    May 7, 2012 to Sep 27, 2012
  • HQ state · MA to NY
    May 7, 2012 to Sep 27, 2012
Signals
No event on the tape.
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