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•••••• C••••••• L••

Former SEC-registered adviserNew London, New HampshireCRD 144740SEC 801-68203IAPD
Latest filing Mar 2, 2015
First filing on the tape Jan 31, 2012 · 6 filings
RAUM
$283M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$283M as of Mar 2, 2015
Jan 31, 2012$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 2, 2015
Feb 11, 20134 then
Employees (5.A)6 as of Mar 2, 2015
Feb 11, 20136 then
Private funds: no history
RAUM -2.4% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 2015; every figure names its basis
RAUM per advisor
$56.6MderivedRAUM 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
$655,615derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.4%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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
432reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• M•••••• E•••••••• · Chief Compliance Officercontrol
      since 07/2007 · owns 50% to 75%
    • T•••••• E•••••• R••••• · Membercontrol
      since 07/2007 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 360 to 432
      Mar 10, 2014 to Mar 2, 2015
    • Discretionary RAUM · $247M to $268M
      Mar 10, 2014 to Mar 2, 2015
    • Non-discretionary RAUM · $43.7M to $15.5M
      Mar 10, 2014 to Mar 2, 2015
    • RAUM · $290M to $283M
      Mar 10, 2014 to Mar 2, 2015
    • Accounts · 356 to 360
      Jan 29, 2014 to Mar 10, 2014
    • Advisory employees · 3 to 5
      Jan 29, 2014 to Mar 10, 2014
    • Discretionary RAUM · $210M to $247M
      Jan 29, 2014 to Mar 10, 2014
    • Non-discretionary RAUM · $6.1M to $43.7M
      Jan 29, 2014 to Mar 10, 2014
    • RAUM · $216M to $290M
      Jan 29, 2014 to Mar 10, 2014
    • State-registered IARs · 4 to 5
      Apr 25, 2013 to Jan 29, 2014
    • Accounts · 312 to 356
      Jan 31, 2012 to Feb 11, 2013
    • Advisory employees · unset to 3.0
      Jan 31, 2012 to Feb 11, 2013
    • Employees · unset to 6.0
      Jan 31, 2012 to Feb 11, 2013
    • State-registered IARs · unset to 4.0
      Jan 31, 2012 to Feb 11, 2013
    • Discretionary RAUM · $194M to $210M
      Jan 31, 2012 to Feb 11, 2013
    • Non-discretionary RAUM · $0 to $6.1M
      Jan 31, 2012 to Feb 11, 2013
    • RAUM · $194M to $216M
      Jan 31, 2012 to Feb 11, 2013
    Signals
    No event on the tape.
    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