DFX Intelligence

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Former SEC-registered adviser

C••• P•••• P•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 141836SEC 801-67184IAPD

Latest filing Apr 1, 2020

First filing on the tape Jan 17, 2012 · 29 filings

RAUM

$274M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

12%

$33.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$1.2M gross assets

History

29 filings and snapshots on the tape

RAUM$274M as of Apr 1, 2020

Mar 30, 2012$928M then

HNW client RAUM$33.0M as of Apr 1, 2020

Mar 28, 2018$39.5M then

State-registered IARs (5.B.3)0 as of Apr 1, 2020

Mar 30, 20120 then

Employees (5.A)4 as of Apr 1, 2020

Mar 28, 20134 then

Private funds1 as of Apr 1, 2020

Mar 28, 20181 then

RAUM -70% over the last fiscal year-30% a year over threeIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Apr 1, 2020; 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: $6.6MderivedHNW RAUM over HNW clients
Average account: $30.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.6%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: -70%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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Custody: $1.2M, 1 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$135M49%
Other investment advisers$100M37%
High-net-worth individuals$33.0M12%
Pension and profit-sharing plans$4.4M1.6%
Pooled investment vehicles$1.2M0.4%

Individual clients: n/areported
HNW clients: 5reported
Pension plan clients: 3reported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $1.2M for 1 clientsreported
Compensation: % of AUM, performancereported
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 departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••• P•••• P•••••••• P••••••••• S••••••••• L• P•no longer reported	Liquidity Fund	$54.2M	1	Mar 28, 2018
C••• P•••• L•• P••••••••• L•••no longer reported	Hedge Fund	$13.5M	58	Oct 17, 2016
C••• P•••• L•• P•••••••• I•• L•••no longer reported	Hedge Fund	$3.4M	18	Oct 17, 2016
C••• P•••• E••••• O••••••••• F••• L•••••• P•••••••••	Other Private Fund	$1.2M	1	Jan 31, 2020

Owners and control persons

Schedule A and B, latest filing

D•••••••• P••••• J•••• · Managing Member, Managing Director & Assistant Compliance Officercontrol
since 08/2006 · owns 25% to 50%
O••••••• T••••••• P••• · Managing Member & Managing Directorcontrol
since 08/2006 · owns 25% to 50%
C•••••• J••••• B•••••• · Chief Compliance Officer
since 06/2019 · owns less than 5%
D•••••••• P•••• R•••••• · Compliance Officer \ General Counsel
since 10/2017 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Advisers that list C••• P•••• P•••••••• L•• as a related person

164015 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Feb 4, 2020 to Apr 1, 2020
Employees · 5 to 4
Feb 4, 2020 to Apr 1, 2020
Other offices · 1 to 0
Feb 4, 2020 to Apr 1, 2020
Accounts · 17 to 9
Nov 5, 2019 to Jan 31, 2020
Pooled vehicle clients · 0 to 1
Nov 5, 2019 to Jan 31, 2020
Assets in custody · unset to 1200000.0
Nov 5, 2019 to Jan 31, 2020
Custody of client assets · false to true
Nov 5, 2019 to Jan 31, 2020
Private funds · unset to 1
Nov 5, 2019 to Jan 31, 2020
Discretionary RAUM · $921M to $274M
Nov 5, 2019 to Jan 31, 2020
HNW RAUM · $49.4M to $33.0M
Nov 5, 2019 to Jan 31, 2020
Pooled vehicle RAUM · unset to 1200000.0
Nov 5, 2019 to Jan 31, 2020
RAUM · $921M to $274M
Nov 5, 2019 to Jan 31, 2020
HQ city · HINGHAM to BOSTON
Aug 5, 2019 to Nov 5, 2019
Accounts · 16 to 17
Apr 12, 2018 to Mar 29, 2019
Advisory employees · 4 to 3
Apr 12, 2018 to Mar 29, 2019
Pooled vehicle clients · 1 to 0
Apr 12, 2018 to Mar 29, 2019
Assets in custody · 54219658.0 to unset
Apr 12, 2018 to Mar 29, 2019
Custody of client assets · true to false
Apr 12, 2018 to Mar 29, 2019
Other offices · 0 to 1
Apr 12, 2018 to Mar 29, 2019
Private funds · 1 to unset
Apr 12, 2018 to Mar 29, 2019
Discretionary RAUM · $895M to $921M
Apr 12, 2018 to Mar 29, 2019
HNW RAUM · $39.5M to $49.4M
Apr 12, 2018 to Mar 29, 2019
Pension RAUM · $3.3M to $4.4M
Apr 12, 2018 to Mar 29, 2019
Pooled vehicle RAUM · 54219658.0 to unset
Apr 12, 2018 to Mar 29, 2019
RAUM · $895M to $921M
Apr 12, 2018 to Mar 29, 2019
Accounts · 8 to 16
Dec 8, 2017 to Mar 28, 2018
HNW clients · unset to 5.0
Dec 8, 2017 to Mar 28, 2018
Pension plan clients · unset to 3.0
Dec 8, 2017 to Mar 28, 2018
Pooled vehicle clients · 2 to 1
Dec 8, 2017 to Mar 28, 2018
Assets in custody · unset to 54219658.0
Dec 8, 2017 to Mar 28, 2018
Custody of client assets · false to true
Dec 8, 2017 to Mar 28, 2018
Private funds · unset to 1
Dec 8, 2017 to Mar 28, 2018
Discretionary RAUM · $855M to $895M
Dec 8, 2017 to Mar 28, 2018
HNW RAUM · unset to 39492404.0
Dec 8, 2017 to Mar 28, 2018
Pension RAUM · unset to 3280786.0
Dec 8, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 54219658.0
Dec 8, 2017 to Mar 28, 2018
RAUM · $855M to $895M
Dec 8, 2017 to Mar 28, 2018
Advisory employees · 5 to 4
Mar 31, 2017 to Dec 8, 2017
Pooled vehicle clients · unset to 2.0
Mar 31, 2017 to Dec 8, 2017
Employees · 6 to 5
Mar 31, 2017 to Dec 8, 2017

Signals

1 dated events

C••• P•••• P•••••••• L•• reported RAUM $273.6M, down 70% from $920.9M (2019-11-05 to 2020-01-31)
Jan 31, 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