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

F•••• I••••••••• G••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 140679SEC 801-110942IAPD
Latest filing Feb 18, 2021
First filing on the tape Jun 30, 2017 · 8 filings
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$223M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$225M as of Feb 18, 2021
Mar 28, 2018$141M then
HNW client RAUM$205M as of Feb 18, 2021
Mar 28, 2018$136M then
State-registered IARs (5.B.3)2 as of Feb 18, 2021
Mar 28, 20183 then
Employees (5.A)5 as of Feb 18, 2021
Mar 28, 20184 then
Private funds: no history
RAUM +32% over the last fiscal year+17% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 18, 2021; every figure names its basis
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$930,675derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$35.0M, 14 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$205M91%
  • Individuals$17.7M7.8%
  • Charitable organizations$2.2M1.0%
Individual clients
33reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
242reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$35.0M for 14 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• D•••••• J••••• · Membercontrol
        since 03/2016 · owns 50% to 75%
      • F••••• K•••••• · Chief Compliance Officer & Membercontrol
        since 04/2006 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • K•••••• F•••• • C••••••• P•
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 231 to 242
        Jun 11, 2020 to Feb 18, 2021
      • Advisory employees · 3 to 2
        Jun 11, 2020 to Feb 18, 2021
      • Charity clients · 0 to 1
        Jun 11, 2020 to Feb 18, 2021
      • Corporate clients · 0.0 to unset
        Jun 11, 2020 to Feb 18, 2021
      • HNW clients · 44 to 48
        Jun 11, 2020 to Feb 18, 2021
      • Individual clients · 37 to 33
        Jun 11, 2020 to Feb 18, 2021
      • Pension plan clients · 0.0 to unset
        Jun 11, 2020 to Feb 18, 2021
      • Pooled vehicle clients · 0.0 to unset
        Jun 11, 2020 to Feb 18, 2021
      • Assets in custody · $30.1M to $35.0M
        Jun 11, 2020 to Feb 18, 2021
      • State-registered IARs · 3 to 2
        Jun 11, 2020 to Feb 18, 2021
      • Discretionary RAUM · $171M to $225M
        Jun 11, 2020 to Feb 18, 2021
      • HNW RAUM · $153M to $205M
        Jun 11, 2020 to Feb 18, 2021
      • Individual RAUM · $17.0M to $17.7M
        Jun 11, 2020 to Feb 18, 2021
      • Pension RAUM · 0.0 to unset
        Jun 11, 2020 to Feb 18, 2021
      • Pooled vehicle RAUM · 0.0 to unset
        Jun 11, 2020 to Feb 18, 2021
      • RAUM · $171M to $225M
        Jun 11, 2020 to Feb 18, 2021
      • Accounts · 234 to 231
        Jan 31, 2020 to Mar 16, 2020
      • Individual clients · 38 to 37
        Jan 31, 2020 to Mar 16, 2020
      • Assets in custody · $28.2M to $30.1M
        Jan 31, 2020 to Mar 16, 2020
      • Discretionary RAUM · $134M to $171M
        Jan 31, 2020 to Mar 16, 2020
      • HNW RAUM · $118M to $153M
        Jan 31, 2020 to Mar 16, 2020
      • Individual RAUM · $15.2M to $17.0M
        Jan 31, 2020 to Mar 16, 2020
      • RAUM · $134M to $171M
        Jan 31, 2020 to Mar 16, 2020
      • Accounts · 241 to 234
        Mar 28, 2018 to Feb 28, 2019
      • Advisory activities · 2 to 1
        Mar 28, 2018 to Feb 28, 2019
      • HNW clients · 64 to 44
        Mar 28, 2018 to Feb 28, 2019
      • Individual clients · 17 to 38
        Mar 28, 2018 to Feb 28, 2019
      • Assets in custody · unset to 28244086.0
        Mar 28, 2018 to Feb 28, 2019
      • Custody of client assets · false to true
        Mar 28, 2018 to Feb 28, 2019
      • Employees · 4 to 5
        Mar 28, 2018 to Feb 28, 2019
      • Discretionary RAUM · $141M to $134M
        Mar 28, 2018 to Feb 28, 2019
      • HNW RAUM · $136M to $118M
        Mar 28, 2018 to Feb 28, 2019
      • Individual RAUM · $3.8M to $15.2M
        Mar 28, 2018 to Feb 28, 2019
      • RAUM · $141M to $134M
        Mar 28, 2018 to Feb 28, 2019
      • Accounts · 226 to 241
        Jun 30, 2017 to Mar 28, 2018
      • Advisory activities · 3 to 2
        Jun 30, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Jun 30, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Jun 30, 2017 to Mar 28, 2018
      • HNW clients · unset to 64.0
        Jun 30, 2017 to Mar 28, 2018
      • Individual clients · unset to 17.0
        Jun 30, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • F•••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Jun 30, 2017 · First SEC registration · fact
      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