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••• P•••• F•••••••• P•••••••

Former SEC-registered adviserMashpee, MassachusettsCRD 142683SEC 801-121834IAPD
Legal name F••• P•••• F•••••••• P••••••• L••
Latest filing Feb 19, 2024
First filing on the tape Jun 23, 2021 · 14 filings
RAUM
$150M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$150M as of Feb 12, 2024
Jan 20, 2022$114M then
HNW client RAUM$119M as of Feb 12, 2024
Jan 20, 2022$98.3M then
State-registered IARs (5.B.3)4 as of Feb 12, 2024
Jan 20, 20222 then
Employees (5.A)4 as of Feb 12, 2024
Jan 20, 20222 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 3 to 4offices 4 to 5
Practice profile
derived from the filing of Feb 19, 2024; every figure names its basis
RAUM per advisor
$37.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$370,830derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+37%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$119M79%
  • Individuals$31.4M21%
Individual clients
93reported
HNW clients
58reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
405reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • M••••••••• D••••• J••••• · Principal/Managing Member/Ccocontrol
      since 07/2008 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Mashpee, Ma · principal000
    North Charleston, Sc000
    Saunderstown, Ri000
    Offices
    Schedule D 1.F, the 25 largest
    • Boston, MA1 employees
    • North Charleston, SC1 employees
    • Rockland, MA1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • RAUM · $122M to $150M
      Aug 30, 2023 to Feb 12, 2024
    • Accounts · 333 to 405
      Aug 30, 2023 to Feb 12, 2024
    • HNW clients · 56 to 58
      Aug 30, 2023 to Feb 12, 2024
    • Individual clients · 54 to 93
      Aug 30, 2023 to Feb 12, 2024
    • Other offices · 4 to 5
      Aug 30, 2023 to Feb 12, 2024
    • Discretionary RAUM · $111M to $139M
      Aug 30, 2023 to Feb 12, 2024
    • HNW RAUM · $19.7M to $119M
      Aug 30, 2023 to Feb 12, 2024
    • Individual RAUM · $102M to $31.4M
      Aug 30, 2023 to Feb 12, 2024
    • Non-discretionary RAUM · $10.6M to $10.7M
      Aug 30, 2023 to Feb 12, 2024
    • Advisory employees · 3 to 4
      Mar 8, 2023 to Apr 27, 2023
    • Employees · 3 to 4
      Mar 8, 2023 to Apr 27, 2023
    • State-registered IARs · 3 to 4
      Mar 8, 2023 to Apr 27, 2023
    • Accounts · 324 to 333
      Dec 15, 2022 to Jan 17, 2023
    • HNW clients · 53 to 56
      Dec 15, 2022 to Jan 17, 2023
    • Individual clients · 46 to 54
      Dec 15, 2022 to Jan 17, 2023
    • Discretionary RAUM · $101M to $111M
      Dec 15, 2022 to Jan 17, 2023
    • HNW RAUM · $98.3M to $19.7M
      Dec 15, 2022 to Jan 17, 2023
    • Individual RAUM · $15.8M to $102M
      Dec 15, 2022 to Jan 17, 2023
    • Non-discretionary RAUM · $12.9M to $10.6M
      Dec 15, 2022 to Jan 17, 2023
    • RAUM · $114M to $122M
      Dec 15, 2022 to Jan 17, 2023
    • Other offices · 1 to 4
      Nov 2, 2022 to Dec 15, 2022
    • Advisory employees · 2 to 3
      Sep 19, 2022 to Nov 2, 2022
    • Employees · 2 to 3
      Sep 19, 2022 to Nov 2, 2022
    • State-registered IARs · 2 to 3
      Sep 19, 2022 to Nov 2, 2022
    • Accounts · 302 to 324
      Nov 3, 2021 to Jan 20, 2022
    • HNW clients · 49 to 53
      Nov 3, 2021 to Jan 20, 2022
    • Individual clients · 44 to 46
      Nov 3, 2021 to Jan 20, 2022
    • Discretionary RAUM · $90.3M to $101M
      Nov 3, 2021 to Jan 20, 2022
    • HNW RAUM · $90.0M to $98.3M
      Nov 3, 2021 to Jan 20, 2022
    • Individual RAUM · $13.9M to $15.8M
      Nov 3, 2021 to Jan 20, 2022
    • Non-discretionary RAUM · $13.6M to $12.9M
      Nov 3, 2021 to Jan 20, 2022
    • RAUM · $104M to $114M
      Nov 3, 2021 to Jan 20, 2022
    • Advisory employees · 1 to 2
      Sep 16, 2021 to Nov 3, 2021
    • Employees · 1 to 2
      Sep 16, 2021 to Nov 3, 2021
    • State-registered IARs · 1 to 2
      Sep 16, 2021 to Nov 3, 2021
    Signals
    4 dated events
    • K••••• J•••• R••• left F••• P•••• F•••••••• P••••••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-07-18)
      Nov 22, 2024 · Advisor changed firm · fact
    • D•••• J••••• M•••••••• left F••• P•••• F•••••••• P••••••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-08-02)
      Nov 22, 2024 · Advisor changed firm · fact
    • N••••• L•••• T••••• left F••• P•••• F•••••••• P••••••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-08-05)
      Aug 5, 2024 · Advisor changed firm · fact
    • F••• P•••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
      Jun 23, 2021 · 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