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
T••••• P••••••• L••
Latest filing Jul 14, 2023
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$3.8B
reported, Item 5.F
Discretionary
37%
of RAUM
Private clients
64%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
22
$922M gross assets
History
24 filings and snapshots on the tape
RAUM$3.8B as of Mar 29, 2023
Mar 30, 2012$1.0B then
HNW client RAUM$2.4B as of Mar 29, 2023
Mar 30, 2020$2.1B then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 30, 20120 then
Employees (5.A)23 as of Mar 29, 2023
Mar 28, 201324 then
Private funds21 as of Mar 29, 2023
Mar 30, 20125 then
RAUM -6.3% over the last fiscal year+6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 2023; 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
- $163MderivedHNW RAUM over HNW clients
- Average account
- $92.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 37%derivedof RAUM
- Institutional
- 10%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
- -6.3%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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $2.2B, 5 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B64%
- Pooled investment vehicles$968M25%
- Charitable organizations$393M10%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2B for 5 clientsreported
- Compensation
- % of AUM, fixed, 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
- R••••• T• H•••• to W•••• F•••• A•••••••Apr 15, 2016 · Other
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• S•••••••• E••••• F••• L•no longer reported | Other Private Fund | $140M | 40 | Mar 30, 2012 |
| R••••••••• U• E••••• L•no longer reported | Other Private Fund | $74.8M | 2 | Mar 31, 2015 |
| R••••••••• E••••••• M••••• E••••• L•no longer reported | Other Private Fund | $40.7M | 5 | Mar 31, 2015 |
| C•••••• S•••••••• E••••• O••••••• L••no longer reported | Other Private Fund | $20.9M | 13 | Mar 30, 2012 |
| T••••• N•• C••••••••• S••••••••• L•no longer reported | Other Private Fund | $18.3M | 18 | Mar 30, 2012 |
| R••••••••• E••••• C••••••••• P••••••••• •••••• L•no longer reported | Private Equity Fund | $16.0M | 8 | Mar 31, 2015 |
| C•••••• E•••••••• S•• L••no longer reported | Other Private Fund | $10.8M | 1 | Mar 28, 2013 |
| T••••• W• P••••••••• L•no longer reported | Private Equity Fund | $28,552 | 14 | Mar 29, 2018 |
| P••••••••• F•• E••••••• E••••• R•••••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2016 |
| R••••••••• M••••••••• C•••• L•no longer reported | Other Private Fund | $0 | 11 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••••• C••••• · Managing Directorcontrolsince 11/2007 · owns less than 5%
- R••••••••• A•••••• J••• · Managing Directorcontrolsince 01/2015 · owns less than 5%
- W••••• S••••••• C••••• D•• · Chief Executive Officer / Chief Investment Officercontrolsince 02/2007 · owns less than 5%
- D••• R•••••••• C••••••• A•• · Chief Financial Officersince 05/2019 · owns less than 5%
- P•••• T••••• · Chief Compliance Officersince 05/2020 · owns less than 5%
- R••••••• D•••••••• B••• · Managing Directorsince 02/2022 · owns less than 5%
Entity owners
- T••••• I••••••••• P••••••• L•• · Memberdirect · owns 75% or more
- L••••• A•••• M••••••••• L•• · Managing Memberindirect · owns 75% or more of T••••• I••••••••• P••••••• L••
- L••••• F••••• • C•• L•• · Parentindirect · owns 75% or more of L••••• A•••• M••••••••• L••
- L••••• G•••• L•• · Sole Memberindirect · owns 75% or more of L••••• F••••• • C•• L•• · public reporting company
- L••••• L•• · Shareholderindirect · owns 75% or more of L••• H•••••• S••••••• · public reporting company
- L••••• L•• · Shareholderindirect · owns 75% or more of L••• C••• I• · public reporting company
- L••• 2• S••••••• · Managing Memberindirect · owns 25% to 50% of L••••• G•••• L••
- L••• C••• I• · Shareholderindirect · owns 75% or more of L••• C••• I•
- L••• C••• I• · Managing Memberindirect · owns 50% to 75% of L••••• G•••• L••
- L••• H•••••• S••••••• · Shareholderindirect · owns 75% or more of L••• 2• S•••••••
Related persons
Schedule D 7.A
- E•••••••• S•••••••• L••investment advisernRAUM $2.8B
- L••••• A•••• M••••••••• ••••••• S••••••••• U••broker-dealern
- L••••• A•••• M••••••••• C••••• I••investment adviserbankpooled vehicle sponsornRAUM $2.3B
- L••••• A•••• M••••••••• ••••••••• G•••investment adviserpooled vehicle sponsorn
- L••••• A•••• M••••••••• •••• K•••• L••••••investment advisern
- L••••• A•••• M••••••••• ••••••••• P•• L••••••investment advisern
- L••••• A•••• M••••••••• ••• H••••••• L••••••investment advisern
- L••••• A•••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- L••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsory
- L••••• A•••• M••••••••• P•••••• C•investment adviserpooled vehicle sponsorn
- L••••• A•••• M••••••••• S•••••• A•investment advisern
- L••••• A•••• M••••••••• S••••••••• L••broker-dealern
- L••••• F••••• • C•• L••broker-dealery
- L••••• F••••• G•••••investment adviserpooled vehicle sponsorn
- L••••• F••• M••••••• •••••••• L••••••investment adviserpooled vehicle sponsorn
- L••••• G••• L••••••investment advisern
- L••••• J•••• A•••• M••••••••• K•••investment advisern
- L••••• K•••• A•••• M••••••••• C••• L••investment adviserpooled vehicle sponsorn
- L••••• M••••• M••••• L••broker-dealern
- L••••• S•••• A••••• C••••••investment advisern
- L••••• S••••••••• P•••••• I••••••••• ••••••• G• S•••••••pooled vehicle sponsorn
- T••••• B•• G• L•••pooled vehicle sponsorn
- T••••• G••••• G• L••pooled vehicle sponsory
- T••••• H••••••• G• L••pooled vehicle sponsory
- T••••• I••••••••• P••••••• L••pooled vehicle sponsory
- T••••• P••••••• G• L••pooled vehicle sponsorn
- T••••• S• G• L••pooled vehicle sponsorn
- T••••• S•• G• L••pooled vehicle sponsory
- T••••• S• G• L••pooled vehicle sponsory
- T••••• W••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 21 to 22Mar 29, 2023 to Apr 27, 2023
- Accounts · 34 to 41Mar 25, 2022 to Mar 29, 2023
- Advisory employees · 11 to 9Mar 25, 2022 to Mar 29, 2023
- HNW clients · 14 to 15Mar 25, 2022 to Mar 29, 2023
- Pooled vehicle clients · 16 to 23Mar 25, 2022 to Mar 29, 2023
- Assets in custody · $2.1B to $2.2BMar 25, 2022 to Mar 29, 2023
- Employees · 25 to 23Mar 25, 2022 to Mar 29, 2023
- Private funds · 14 to 21Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.5B to $1.4BMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $2.7B to $2.4BMar 25, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $2.6B to $2.4BMar 25, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $996M to $968MMar 25, 2022 to Mar 29, 2023
- RAUM · $4.1B to $3.8BMar 25, 2022 to Mar 29, 2023
- Related adviser · false to trueMar 25, 2022 to Mar 29, 2023
- Related bank · false to trueMar 25, 2022 to Mar 29, 2023
- Related broker-dealer · false to trueMar 25, 2022 to Mar 29, 2023
- Accounts · 33 to 34Mar 30, 2021 to Mar 25, 2022
- Advisory employees · 12 to 11Mar 30, 2021 to Mar 25, 2022
- HNW clients · 16 to 14Mar 30, 2021 to Mar 25, 2022
- Pooled vehicle clients · 14 to 16Mar 30, 2021 to Mar 25, 2022
- Assets in custody · $1.5B to $2.1BMar 30, 2021 to Mar 25, 2022
- Other offices · 1 to 0Mar 30, 2021 to Mar 25, 2022
- Private funds · 12 to 14Mar 30, 2021 to Mar 25, 2022
- Discretionary RAUM · $2.2B to $1.5BMar 30, 2021 to Mar 25, 2022
- HNW RAUM · $2.3B to $2.7BMar 30, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $1.3B to $2.6BMar 30, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $754M to $996MMar 30, 2021 to Mar 25, 2022
- RAUM · $3.4B to $4.1BMar 30, 2021 to Mar 25, 2022
- Accounts · 30 to 33Oct 26, 2020 to Mar 30, 2021
- Advisory employees · 10 to 12Oct 26, 2020 to Mar 30, 2021
- HNW clients · 15 to 16Oct 26, 2020 to Mar 30, 2021
- Pooled vehicle clients · 13 to 14Oct 26, 2020 to Mar 30, 2021
- Assets in custody · $1.5B to $1.5BOct 26, 2020 to Mar 30, 2021
- Employees · 20 to 25Oct 26, 2020 to Mar 30, 2021
- Private funds · 11 to 12Oct 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $2.1B to $2.2BOct 26, 2020 to Mar 30, 2021
- HNW RAUM · $2.1B to $2.3BOct 26, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $1.0B to $1.3BOct 26, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $677M to $754MOct 26, 2020 to Mar 30, 2021
- RAUM · $3.1B to $3.4BOct 26, 2020 to Mar 30, 2021
Signals
12 dated events
- Thomas Geoffrey Boisi (Member) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- William Richard Herbst (Member) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Carroll John Morrissey (Managing Director) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Babbitt Dorothy Shea (Beneficiary) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Shea Mary Shea (Beneficiary) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Hand Carolyn Shea (Beneficiary) no longer on Schedule A of T••••• P••••••• L•• (listed 2022-03-25, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Fredrick David Randell (President) no longer on Schedule A of T••••• P••••••• L•• (listed 2021-03-30, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- Babbitt Dorothy Shea (Beneficiary) appeared on Schedule A of T••••• P••••••• L••Jun 11, 2020 · Control person joined · fact
- Shea Mary Shea (Beneficiary) appeared on Schedule A of T••••• P••••••• L••Jun 11, 2020 · Control person joined · fact
- Hand Carolyn Shea (Beneficiary) appeared on Schedule A of T••••• P••••••• L••Jun 11, 2020 · Control person joined · fact
- Marc Joseph Kopilak (Chief Financial Officer) no longer on Schedule A of T••••• P••••••• L•• (listed 2019-02-01, absent 2019-06-12)Jun 12, 2019 · Control person left · inference
- Carroll John Morrissey (Managing Director) appeared on Schedule A of T••••• P••••••• L••Feb 1, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- T••••• P••••••• L•• · Private Equityshared crd · organization
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