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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SEC-registered adviser
P••••••• P•••••• C••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Aug 20, 2007
RAUM
$2.2B
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$723M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.2B as of Mar 5, 2026
Feb 1, 2016$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Mar 13, 20133 then
Employees (5.A)3 as of Mar 5, 2026
Mar 13, 20135 then
Private funds: no history
RAUM +43% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $723MderivedRAUM 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
- $32.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%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 fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
- 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
- Pension and profit-sharing plans$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 64reported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••••• Y••• | Needham, Ma | Feb 18, 2005 | 36 y | 0 |
| G•••••• C••••••• L•••• | Needham, Ma | Jan 25, 2008 | 21 y | 1 |
| C••••••••• A•••• G••••••• | Concord, Ma | Apr 24, 2022 | 15 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L•• N••••• S••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 21, 2022 · Other
- C••••••••• A•••• G••••••• to P••••••••Feb 13, 2020 · Other
Joined, latest
- C••••••••• A•••• G••••••• from P••••••••Apr 24, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• G••••••• C••••••• · Chief Compliance Officercontrolsince 08/2007 · owns less than 5%
Entity owners
- G•• H••••••• L•• · Principal Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Needham, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension plan clients · 65 to 64Feb 10, 2025 to Mar 5, 2026
- Discretionary RAUM · $257M to $279MFeb 10, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $1.3B to $1.9BFeb 10, 2025 to Mar 5, 2026
- Pension RAUM · $1.5B to $2.2BFeb 10, 2025 to Mar 5, 2026
- RAUM · $1.5B to $2.2BFeb 10, 2025 to Mar 5, 2026
- Accounts · 69 to 66Dec 11, 2024 to Feb 10, 2025
- Pension plan clients · 68 to 65Dec 11, 2024 to Feb 10, 2025
- Financial planning clients · unset to Dec 11, 2024 to Feb 10, 2025
- Discretionary RAUM · $197M to $257MDec 11, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $1.3B to $1.3BDec 11, 2024 to Feb 10, 2025
- Pension RAUM · $1.5B to $1.5BDec 11, 2024 to Feb 10, 2025
- RAUM · $1.5B to $1.5BDec 11, 2024 to Feb 10, 2025
- Accounts · 71 to 69Mar 14, 2023 to Feb 5, 2024
- Pension plan clients · 69 to 68Mar 14, 2023 to Feb 5, 2024
- Discretionary RAUM · $92.6M to $197MMar 14, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $1.2B to $1.3BMar 14, 2023 to Feb 5, 2024
- Pension RAUM · $1.3B to $1.5BMar 14, 2023 to Feb 5, 2024
- RAUM · $1.3B to $1.5BMar 14, 2023 to Feb 5, 2024
- Accounts · 65 to 71Mar 3, 2022 to Mar 14, 2023
- Pension plan clients · 63 to 69Mar 3, 2022 to Mar 14, 2023
- Discretionary RAUM · $39.6M to $92.6MMar 3, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $1.3B to $1.2BMar 3, 2022 to Mar 14, 2023
- Pension RAUM · $1.4B to $1.3BMar 3, 2022 to Mar 14, 2023
- RAUM · $1.4B to $1.3BMar 3, 2022 to Mar 14, 2023
- Accounts · 75 to 65Mar 15, 2021 to Mar 3, 2022
- Pension plan clients · 74 to 63Mar 15, 2021 to Mar 3, 2022
- Discretionary RAUM · $41.6M to $39.6MMar 15, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $1.2B to $1.3BMar 15, 2021 to Mar 3, 2022
- Pension RAUM · $1.3B to $1.4BMar 15, 2021 to Mar 3, 2022
- RAUM · $1.3B to $1.4BMar 15, 2021 to Mar 3, 2022
- Pension plan clients · 66 to 74Feb 13, 2020 to Mar 15, 2021
- Discretionary RAUM · $8.0M to $41.6MFeb 13, 2020 to Mar 15, 2021
- Non-discretionary RAUM · $1.3B to $1.2BFeb 13, 2020 to Mar 15, 2021
- Pension RAUM · $1.3B to $1.3BFeb 13, 2020 to Mar 15, 2021
- RAUM · $1.3B to $1.3BFeb 13, 2020 to Mar 15, 2021
- Accounts · 67 to 75Mar 25, 2019 to Feb 13, 2020
- Advisory employees · 4 to 3Mar 25, 2019 to Feb 13, 2020
- Employees · 4 to 3Mar 25, 2019 to Feb 13, 2020
- State-registered IARs · 4 to 3Mar 25, 2019 to Feb 13, 2020
- Discretionary RAUM · $750,000 to $8.0MMar 25, 2019 to Feb 13, 2020
Signals
3 dated events
- P••••••• P•••••• C••••••••• L•• reported RAUM $2.2B, up 43% from $1.5B (2025-02-10 to 2026-03-05)Mar 5, 2026 · RAUM change · derived
- L•• N••••• S••••••••• left P••••••• P•••••• C••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-10-04)Sep 21, 2022 · Advisor changed firm · fact
- P••••••• P•••••• C••••••••• L•• reported RAUM $1.1B, down 26% from $1.5B (2018-05-08 to 2019-03-25)Mar 25, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 857-302-4105reportedpublic record, Form ADV, Mar 5, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $723Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026