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

A••••••• R••••• C••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 145647SEC 801-69072IAPD
Latest filing Dec 28, 2015
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$12B
reported, Item 5.F
Discretionary
100%
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
24
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$12B gross assets
History
8 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2015
Mar 30, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)24 as of Mar 31, 2015
Apr 1, 201324 then
Private funds2 as of Mar 31, 2015
Mar 30, 20121 then
RAUM -35% over the last fiscal year+59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 28, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$6.1BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-35%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• R••••• C•••••• P•••••••• L•••Hedge Fund$12B223Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• M••••••• D• C••••• · Managing Director And Chief Operating Officercontrol
        since 01/2005 · owns less than 5%
      • B•••••• S•••••• W•••••• · Membercontrol
        since 01/2001 · owns F of B••• C•••••• H•••••••• L•
      • B••••••••• J••••• · Membercontrol
        since 10/1984 · owns F of B••• C•••••• H•••••••• L•
      • C••••••••• J•••• P•••••• · Membercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • H••••••• J••••••• B••••• · Membercontrol
        since 01/2008 · owns F of B••• C•••••• H•••••••• L•
      • K•••••• M••••••• A••• · Membercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • L•••••• J•••••••• S•••• · Membercontrol
        since 12/1997 · owns F of B••• C•••••• H•••••••• L•
      • P•••••••• S••••••• G••••• · Membercontrol
        since 09/1989 · owns F of B••• C•••••• H•••••••• L•
      • P••••••••• I•• W••••••• E••••• · Membercontrol
        since 01/2002 · owns F of B••• C•••••• H•••••••• L•
      • P••••• D•••••• M••••••• · Membercontrol
        since 10/1999 · owns F of B••• C•••••• H•••••••• L•
      • D••••••• S•••• M•••••• · Managing Director And Chief Compliance Officer
        since 09/2015 · owns less than 5%
      • P••••••• M••••••• J• · Chief Financial Officer
        since 01/2015 · owns less than 5%
      • R••••••••• R••••• · Managing Director And General Counsel
        since 01/2015 · owns less than 5%
      Entity owners
      • B••• C••••••• L• · Member
        direct · owns 75% or more
      • B••• C•••••• •••• L•• · General Partner
        indirect · owns F of B••• C••••••• L•
      • B••• C•••••• H•••••••• L• · Limited Partner
        indirect · owns F of B••• C••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $16B to $12B
        Nov 25, 2014 to Mar 31, 2015
      • RAUM · $16B to $12B
        Nov 25, 2014 to Mar 31, 2015
      • Discretionary RAUM · $19B to $16B
        Mar 31, 2014 to Nov 25, 2014
      • RAUM · $19B to $16B
        Mar 31, 2014 to Nov 25, 2014
      • Assets in custody · unset to 0.0
        Apr 1, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $9.1B to $19B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $9.1B to $19B
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 3 to 2
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 1
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 24.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · 1 to 2
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.0B to $9.1B
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $3.0B to $9.1B
        Mar 30, 2012 to Apr 1, 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