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

W••• C•••• C•••••• M••••••••• L••

Former SEC-registered adviserNew Haven, ConnecticutCRD 148944SEC 801-69939IAPD
Latest filing Jul 1, 2016
First filing on the tape Mar 27, 2012 · 14 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
64%
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
22
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
15
$2.2B gross assets
History
14 filings and snapshots on the tape
RAUM$2.8B as of Mar 29, 2016
Mar 27, 2012$480M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)22 as of Mar 29, 2016
Apr 1, 201315 then
Private funds15 as of Mar 29, 2016
Mar 27, 20124 then
RAUM +27% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2016; 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
$142MderivedRAUM over accounts (5.F.2.f)
Discretionary
64%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+27%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$2.3B, 8 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.3B for 8 clientsreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••• C•••• V•••••• F•••• L••Venture Capital Fund$60.7M2Mar 27, 2012
      W••• C•••• M••••••••• F•••• L•••Hedge Fund$26.1M1Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• T•••••• M•••••• · Directorcontrol
        since 03/2011 · owns less than 5%
      • H••••••••• B••••• D•••• · Director, Executive Chairmancontrol
        since 08/2005 · owns less than 5%
      • J••••••••• T•••••• M•••••• · Presidentcontrol
        since 03/2011 · owns less than 5%
      • N•••••• C•••••••• M•••••• · Directorcontrol
        since 11/2011 · owns less than 5%
      • P••••• G••••• H••••• · Chief Financial Officercontrol
        since 06/2007 · owns less than 5%
      • R•••••• J•••••••• P•••• · Director, Chief Executive Officercontrol
        since 08/2005 · owns less than 5%
      • S•••••••• M••••••• C•• · Managing Directorcontrol
        since 01/2010 · owns less than 5%
      • S•••• R•••••• S• · Managing Directorcontrol
        since 03/2013 · owns less than 5%
      • T•••••••• P•••• J••• · Directorcontrol
        since 11/2011 · owns less than 5%
      • S••••• G••••••• D•••• · Chief Compliance Officer
        since 06/2014 · owns less than 5%
      Entity owners
      • B••••• C•••••• M••••••••• L•• · Direct Owner
        direct · owns 75% or more
      • M••••••••• M••••• L••• I•••••••• C•••••• · Shareholder Of M••••••••• H•••••• L••
        indirect · owns 75% or more of M••••••••• H•••••• L••
      • M••••••••• H•••••• L•• · Sole Member
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
      • M• A•••• M••••••••• H•••••• L•• · Sole Member
        indirect · owns 75% or more of B••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list W••• C•••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Amherst, MA
      • N••••••, CT
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 20
        Nov 13, 2015 to Mar 29, 2016
      • Assets in custody · $2.3B to $2.3B
        Nov 13, 2015 to Mar 29, 2016
      • Employees · 20 to 22
        Nov 13, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.5B to $1.8B
        Nov 13, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $1.2B to $1.0B
        Nov 13, 2015 to Mar 29, 2016
      • RAUM · $2.8B to $2.8B
        Nov 13, 2015 to Mar 29, 2016
      • Accounts · 16 to 19
        Mar 30, 2015 to Jun 30, 2015
      • Advisory employees · 16 to 17
        Mar 30, 2015 to Jun 30, 2015
      • Assets in custody · $1.9B to $2.3B
        Mar 30, 2015 to Jun 30, 2015
      • Employees · 19 to 20
        Mar 30, 2015 to Jun 30, 2015
      • Private funds · 13 to 15
        Mar 30, 2015 to Jun 30, 2015
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 30, 2015 to Jun 30, 2015
      • Non-discretionary RAUM · $1.0B to $1.2B
        Mar 30, 2015 to Jun 30, 2015
      • RAUM · $2.2B to $2.8B
        Mar 30, 2015 to Jun 30, 2015
      • Accounts · 17 to 16
        Dec 10, 2014 to Mar 30, 2015
      • Assets in custody · $1.9B to $1.9B
        Dec 10, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.2B to $1.2B
        Dec 10, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $953M to $1.0B
        Dec 10, 2014 to Mar 30, 2015
      • RAUM · $2.1B to $2.2B
        Dec 10, 2014 to Mar 30, 2015
      • Accounts · 13 to 17
        Mar 26, 2014 to Jun 30, 2014
      • Assets in custody · $1.1B to $1.9B
        Mar 26, 2014 to Jun 30, 2014
      • Private funds · 9 to 13
        Mar 26, 2014 to Jun 30, 2014
      • Discretionary RAUM · $781M to $1.2B
        Mar 26, 2014 to Jun 30, 2014
      • Non-discretionary RAUM · $569M to $953M
        Mar 26, 2014 to Jun 30, 2014
      • RAUM · $1.4B to $2.1B
        Mar 26, 2014 to Jun 30, 2014
      • Accounts · 10 to 13
        Jul 1, 2013 to Mar 26, 2014
      • Advisory employees · 14 to 16
        Jul 1, 2013 to Mar 26, 2014
      • BD registered reps · 6 to 7
        Jul 1, 2013 to Mar 26, 2014
      • Assets in custody · $780M to $1.1B
        Jul 1, 2013 to Mar 26, 2014
      • Employees · 15 to 19
        Jul 1, 2013 to Mar 26, 2014
      • Private funds · 8 to 9
        Jul 1, 2013 to Mar 26, 2014
      • Discretionary RAUM · $780M to $781M
        Jul 1, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $364M to $569M
        Jul 1, 2013 to Mar 26, 2014
      • RAUM · $1.1B to $1.4B
        Jul 1, 2013 to Mar 26, 2014
      • Accounts · 6 to 10
        Jul 2, 2012 to Apr 1, 2013
      • Advisory employees · unset to 14.0
        Jul 2, 2012 to Apr 1, 2013
      • BD registered reps · unset to 6.0
        Jul 2, 2012 to Apr 1, 2013
      • Assets in custody · $255M to $780M
        Jul 2, 2012 to Apr 1, 2013
      • Employees · unset to 15.0
        Jul 2, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jul 2, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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