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
C•••••• C•••••• F•••••••• P•••••••• L••
Latest filing May 4, 2023
First filing on the tape Jul 8, 2021 · 10 filings
RAUM
$99.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$99.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$99.2M as of Mar 2, 2023
Mar 2, 2022$125M then
HNW client RAUM$64.1M as of Mar 2, 2023
Mar 2, 2022$104M then
State-registered IARs (5.B.3)2 as of Mar 2, 2023
Mar 2, 20221 then
Employees (5.A)2 as of Mar 2, 2023
Mar 2, 20221 then
Private funds: no history
RAUM -21% over the last fiscal yearIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of May 4, 2023; every figure names its basis
- RAUM per advisor
- $49.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $893,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.1M65%
- Individuals$35.1M35%
- Charitable organizations$67,5910.1%
- Individual clients
- 46reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 111reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- C•••••• W•••••• H•••• to M•••••• W••••• M••••••••• L•Mar 18, 2024 · RIA to RIA
- G••••• A••••• C••••• to M•••••• W••••• M••••••••• L•Mar 18, 2024 · RIA to RIA
Joined, latest
- C•••••• W•••••• H•••• from S•••••••• A••••••• L••Aug 25, 2008 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••••• W••••• M••••••••• L•Mar 18, 2024 · Needham, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••••• W•••••• · Principal/Chief Compliance Officercontrolsince 08/2008 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Needham, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Individual clients · 32 to 46Aug 12, 2022 to Mar 2, 2023
- Discretionary RAUM · $125M to $99.2MAug 12, 2022 to Mar 2, 2023
- HNW RAUM · $104M to $64.1MAug 12, 2022 to Mar 2, 2023
- Individual RAUM · $21.2M to $35.1MAug 12, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $107,788 to $28,000Aug 12, 2022 to Mar 2, 2023
- RAUM · $125M to $99.2MAug 12, 2022 to Mar 2, 2023
- Accounts · 54 to 111Aug 12, 2022 to Mar 2, 2023
- Charity clients · 0 to 1Aug 12, 2022 to Mar 2, 2023
- HNW clients · 19 to 8Aug 12, 2022 to Mar 2, 2023
- Advisory employees · 1 to 2Aug 2, 2022 to Aug 12, 2022
- Employees · 1 to 2Aug 2, 2022 to Aug 12, 2022
- State-registered IARs · 1 to 2Aug 2, 2022 to Aug 12, 2022
- HQ city · unset to NEEDHAMMay 12, 2022 to Aug 2, 2022
- HQ state · unset to MAMay 12, 2022 to Aug 2, 2022
- Other offices · 0 to 1May 12, 2022 to Aug 2, 2022
- Accounts · 125 to 54Dec 16, 2021 to Mar 2, 2022
- HNW clients · 34 to 19Dec 16, 2021 to Mar 2, 2022
- Individual clients · 99 to 32Dec 16, 2021 to Mar 2, 2022
- Pension plan clients · 1 to 0Dec 16, 2021 to Mar 2, 2022
- Discretionary RAUM · $106M to $125MDec 16, 2021 to Mar 2, 2022
- HNW RAUM · $74.6M to $104MDec 16, 2021 to Mar 2, 2022
- Individual RAUM · $30.8M to $21.2MDec 16, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $2.3M to $107,788Dec 16, 2021 to Mar 2, 2022
- Pension RAUM · $2.4M to $0Dec 16, 2021 to Mar 2, 2022
- RAUM · $108M to $125MDec 16, 2021 to Mar 2, 2022
Signals
4 dated events
- G••••• A••••• C••••• left C•••••• C•••••• F•••••••• P•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2024-03-27)Mar 18, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••• C•••••• F•••••••• P•••••••• L•• (Needham, MA) for M•••••• W••••• M••••••••• L• on the same dayMar 18, 2024 · Team lift-out · derived
- C•••••• W•••••• H•••• left C•••••• C•••••• F•••••••• P•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2024-03-27)Mar 18, 2024 · Advisor changed firm · fact
- C•••••• C•••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 8, 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