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•••••• C••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 138542SEC 801-65083IAPD
Latest filing Mar 17, 2015
First filing on the tape Mar 21, 2012 · 7 filings
RAUM
$35.9M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$35.9M gross assets
History
7 filings and snapshots on the tape
RAUM$35.9M as of Mar 17, 2015
Mar 21, 2012$17.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2015
Mar 21, 20120 then
Employees (5.A)0 as of Mar 17, 2015
Mar 8, 20130 then
Private funds1 as of Mar 17, 2015
Mar 21, 20121 then
RAUM +27% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2015; 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
$35.9MderivedRAUM 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
+27%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$35.9M, 1 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$35.9M for 1 clientsreported
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
Left, latest
none on the tape
    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
      • L•••••• J•••• R••••• · Chief Executive Officer, Membercontrol
        since 11/2005 · owns 75% or more
      • T••••••• R••••••• M•••• · Chief Compliance Officer
        since 11/2005 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list S•••••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $28.3M to $35.9M
        Sep 5, 2014 to Mar 17, 2015
      • Discretionary RAUM · $28.3M to $35.9M
        Sep 5, 2014 to Mar 17, 2015
      • RAUM · $28.3M to $35.9M
        Sep 5, 2014 to Mar 17, 2015
      • Assets in custody · $20.3M to $28.3M
        Mar 8, 2013 to Mar 7, 2014
      • Discretionary RAUM · $20.3M to $28.3M
        Mar 8, 2013 to Mar 7, 2014
      • RAUM · $20.3M to $28.3M
        Mar 8, 2013 to Mar 7, 2014
      • Assets in custody · $17.5M to $20.3M
        Jun 12, 2012 to Mar 8, 2013
      • Employees · unset to 0.0
        Jun 12, 2012 to Mar 8, 2013
      • Discretionary RAUM · $17.5M to $20.3M
        Jun 12, 2012 to Mar 8, 2013
      • RAUM · $17.5M to $20.3M
        Jun 12, 2012 to Mar 8, 2013
      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