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
M•• A•••• M••••••••• L••
Latest filing Sep 28, 2021
First filing on the tape Feb 21, 2012 · 21 filings
RAUM
$485M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
50%
$244M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$485M as of Sep 28, 2021
Sep 26, 2012$138M then
HNW client RAUM$218M as of Sep 28, 2021
Sep 27, 2018$41.7M then
State-registered IARs (5.B.3)5 as of Sep 28, 2021
Sep 6, 20134 then
Employees (5.A)9 as of Sep 28, 2021
Sep 6, 20136 then
Private funds: no history
RAUM +4.8% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 28, 2021; every figure names its basis
- RAUM per advisor
- $96.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $32.1M, 51 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$218M90%
- Individuals$25.4M10%
- Individual clients
- 70reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 148reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.1M for 51 clientsreported
- 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
Left, latest
- D•••• M•••••• D•••••• to B•••• T•••• W••••• M••••••••• L••Dec 10, 2021 · RIA to RIA
- T•••••• E••••• H••• to B•••• T•••• W••••• M••••••••• L••Dec 10, 2021 · RIA to RIA
- J••••• M• R••••• to B•••• T•••• W••••• M••••••••• L••Dec 10, 2021 · RIA to RIA
- M•••••• S••••• P••••••• to B•••• T•••• W••••• M••••••••• L••Dec 10, 2021 · RIA to RIA
- M•••••• T••••• C••••• to G•••••• F•••••••• P•••••••Aug 15, 2017 · Other
- G•••••• S•••• H••••• to C••••••• P•••••••May 9, 2016 · Other
- K•••• L••••• L•••• to A•••••• A••••••• S•••••••Dec 2, 2011 · Other
- M••• T••••• B•••••••• to M••••• O• O•••• I••••••• S•••••••• I•••Nov 6, 2008 · Other
Joined, latest
- J••••• M• R••••• from K•••••••• I••••••••• A•••••••• I•••Oct 16, 2017 · Other
- T•••••• E••••• H••• from M••••• S••••••Mar 15, 2017 · Other
- G•••••• S•••• H••••• from A••••• A•• P••••••• S•••••••Apr 22, 2016 · Other
- M••• T••••• B•••••••• from C•••••• W••••• A••••••• G••••Aug 7, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for B•••• T•••• W••••• M••••••••• L••Dec 10, 2021 · Tewksbury, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• W••••••• S•••••••• · Membercontrolsince 10/2004 · owns 10% to 25%
- A••••••••• J••••••• R•••• · Membercontrolsince 10/2004 · owns 5% to 10%
- D••••••• W••••••• A•••••• · Membercontrolsince 10/2004 · owns 5% to 10%
- F••••••••• C•••• J••••• · Managing Membercontrolsince 10/2004 · owns 10% to 25%
- M•••••• M•••••••• G••••••• · Chief Compliance Officercontrolsince 03/2011 · owns less than 5%
- A••••••••• W••••••• S•••••••• · Partnercontrolsince 07/1998 · owns 25% to 50% of M••••• F••••••••• • A••••••••• L••
- F••••••••• C•••• J••••• · Managing Partnercontrolsince 06/2003 · owns 25% to 50% of M••••• F••••••••• • A••••••••• L••
Entity owners
- M••••• F••••••••• • A••••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- M•• I••••••••• L••real estatey
- M•• S••••••••• L••broker-dealern
- M••••• F••••••••• • A••••••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 600 to 148Mar 9, 2021 to Sep 28, 2021
- HNW clients · 26 to 51Mar 9, 2021 to Sep 28, 2021
- Individual clients · 86 to 70Mar 9, 2021 to Sep 28, 2021
- Assets in custody · unset to 32075499.0Mar 9, 2021 to Sep 28, 2021
- Custody of client assets · false to trueMar 9, 2021 to Sep 28, 2021
- Discretionary RAUM · $416M to $435MMar 9, 2021 to Sep 28, 2021
- HNW RAUM · $53.0M to $218MMar 9, 2021 to Sep 28, 2021
- Individual RAUM · $215M to $25.4MMar 9, 2021 to Sep 28, 2021
- Non-discretionary RAUM · $46.7M to $49.4MMar 9, 2021 to Sep 28, 2021
- RAUM · $462M to $485MMar 9, 2021 to Sep 28, 2021
- Accounts · 114 to 600Jun 29, 2020 to Sep 28, 2020
- Advisory employees · 6 to 5Jun 29, 2020 to Sep 28, 2020
- HNW clients · 20 to 26Jun 29, 2020 to Sep 28, 2020
- Individual clients · 83 to 86Jun 29, 2020 to Sep 28, 2020
- Employees · 10 to 9Jun 29, 2020 to Sep 28, 2020
- State-registered IARs · 6 to 5Jun 29, 2020 to Sep 28, 2020
- Discretionary RAUM · $292M to $416MJun 29, 2020 to Sep 28, 2020
- HNW RAUM · $183M to $53.0MJun 29, 2020 to Sep 28, 2020
- Individual RAUM · $53.6M to $215MJun 29, 2020 to Sep 28, 2020
- Non-discretionary RAUM · $21.0M to $46.7MJun 29, 2020 to Sep 28, 2020
- RAUM · $313M to $462MJun 29, 2020 to Sep 28, 2020
- Accounts · 104 to 114Sep 27, 2018 to Sep 19, 2019
- Advisory employees · 7 to 6Sep 27, 2018 to Sep 19, 2019
- Advisory activities · 6 to 5Sep 27, 2018 to Sep 19, 2019
- HNW clients · 18 to 20Sep 27, 2018 to Sep 19, 2019
- Individual clients · 76 to 83Sep 27, 2018 to Sep 19, 2019
- Financial planning clients · 26-50 to 51-100Sep 27, 2018 to Sep 19, 2019
- State-registered IARs · 7 to 6Sep 27, 2018 to Sep 19, 2019
- Discretionary RAUM · $164M to $292MSep 27, 2018 to Sep 19, 2019
- HNW RAUM · $41.7M to $183MSep 27, 2018 to Sep 19, 2019
- Individual RAUM · $112M to $53.6MSep 27, 2018 to Sep 19, 2019
- Non-discretionary RAUM · $135M to $21.0MSep 27, 2018 to Sep 19, 2019
- RAUM · $299M to $313MSep 27, 2018 to Sep 19, 2019
- Accounts · 91 to 104Oct 19, 2017 to Sep 27, 2018
- Advisory employees · 5 to 7Oct 19, 2017 to Sep 27, 2018
- HNW clients · unset to 18.0Oct 19, 2017 to Sep 27, 2018
- Individual clients · unset to 76.0Oct 19, 2017 to Sep 27, 2018
- Employees · 8 to 10Oct 19, 2017 to Sep 27, 2018
- Financial planning clients · 1-10 to 26-50Oct 19, 2017 to Sep 27, 2018
- State-registered IARs · 5 to 7Oct 19, 2017 to Sep 27, 2018
Signals
1 dated events
- M•• A•••• M••••••••• L•• reported RAUM $462.3M, up 48% from $312.6M (2020-06-29 to 2020-09-28)Sep 28, 2020 · RAUM change · derived
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