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
N•• E•••••• R••••••••• C••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jan 20, 2012 · 25 filings
SEC status approved since Feb 3, 2012
RAUM
$2.1B
reported, Item 5.F
Discretionary
5.3%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$528M
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
25 filings and snapshots on the tape
RAUM$2.1B as of Feb 27, 2026
Mar 20, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Mar 20, 20131 then
Employees (5.A)3 as of Feb 27, 2026
Mar 20, 20131 then
Private funds: no history
RAUM +9.2% over the last fiscal year+8.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 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
- 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
- $528MderivedRAUM 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
- $151MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.3%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%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, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• A••••• J••••• | Boston, Ma | Aug 28, 2006 | 34 y | 2 |
| J••• R••••••• G•••••• | Norwalk, Ct | Feb 3, 2009 | 29 y | 0 |
| D•••• V••••••• F•••••• | Boston, Ma | Jul 16, 2009 | 20 y | 0 |
| C••••••••• P••• C••••••• | Boston, Ma | Sep 23, 2016 | 32 y | 0 |
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
none on the tape
Joined, latest
- G•••• A••••• J••••• from P•••••••• S••••••••• I•••Aug 28, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• G••••• A••••• · Managing Membercontrolsince 08/2006 · owns 75% or more
- C•••••••• C••••••••• P••• · Chief Compliance Officersince 01/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 14Mar 20, 2025 to Feb 27, 2026
- Pension plan clients · 12 to 14Mar 20, 2025 to Feb 27, 2026
- Discretionary RAUM · $0 to $113MMar 20, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $1.9B to $2.0BMar 20, 2025 to Feb 27, 2026
- Pension RAUM · $1.9B to $2.1BMar 20, 2025 to Feb 27, 2026
- RAUM · $1.9B to $2.1BMar 20, 2025 to Feb 27, 2026
- Accounts · 1 to 12Mar 11, 2024 to Mar 20, 2025
- Pension plan clients · 1 to 12Mar 11, 2024 to Mar 20, 2025
- Financial planning clients · unset to 11-25Mar 11, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $1.8B to $1.9BMar 11, 2024 to Mar 20, 2025
- Pension RAUM · $1.8B to $1.9BMar 11, 2024 to Mar 20, 2025
- RAUM · $1.8B to $1.9BMar 11, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $1.6B to $1.8BJun 1, 2023 to Mar 11, 2024
- Pension RAUM · $1.6B to $1.8BJun 1, 2023 to Mar 11, 2024
- RAUM · $1.6B to $1.8BJun 1, 2023 to Mar 11, 2024
- Accounts · 3 to 1Mar 16, 2022 to Mar 20, 2023
- Pension plan clients · 2 to 1Mar 16, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $1.5B to $1.6BMar 16, 2022 to Mar 20, 2023
- Pension RAUM · $1.5B to $1.6BMar 16, 2022 to Mar 20, 2023
- RAUM · $1.5B to $1.6BMar 16, 2022 to Mar 20, 2023
- Pension plan clients · 3 to 2Mar 29, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $1.5B to $1.5BMar 29, 2021 to Mar 16, 2022
- Pension RAUM · $1.5B to $1.5BMar 29, 2021 to Mar 16, 2022
- RAUM · $1.5B to $1.5BMar 29, 2021 to Mar 16, 2022
- Accounts · 4 to 3Jan 22, 2021 to Mar 22, 2021
- Pension plan clients · 4 to 3Jan 22, 2021 to Mar 22, 2021
- Non-discretionary RAUM · $1.3B to $1.5BJan 22, 2021 to Mar 22, 2021
- Pension RAUM · $1.3B to $1.5BJan 22, 2021 to Mar 22, 2021
- RAUM · $1.3B to $1.5BJan 22, 2021 to Mar 22, 2021
- Accounts · 5 to 4Mar 28, 2019 to Mar 19, 2020
- Pension plan clients · 5 to 4Mar 28, 2019 to Mar 19, 2020
- Discretionary RAUM · $1.1B to $0Mar 28, 2019 to Mar 19, 2020
- Non-discretionary RAUM · $0 to $1.3BMar 28, 2019 to Mar 19, 2020
- Pension RAUM · $1.1B to $1.3BMar 28, 2019 to Mar 19, 2020
- RAUM · $1.1B to $1.3BMar 28, 2019 to Mar 19, 2020
- Accounts · 3 to 5Mar 8, 2018 to Mar 28, 2019
- Pension plan clients · unset to 5.0Mar 8, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.1B to $1.1BMar 8, 2018 to Mar 28, 2019
- Pension RAUM · $1.1B to $1.1BMar 8, 2018 to Mar 28, 2019
- RAUM · $1.1B to $1.1BMar 8, 2018 to Mar 28, 2019
Signals
1 dated events
- N•• E•••••• R••••••••• C••••••••• L•• reported RAUM $1.3B, up 27% from $1.1B (2019-03-28 to 2020-03-19)Mar 19, 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.
How to reach
public business contact points only, each with its source
- Website
- w••.n••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (617) 535- 6946reportedpublic record, Form ADV, Feb 27, 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
- $528Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026