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Former SEC-registered adviser

C••••• L••••• F••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 149971SEC 801-79674IAPD
Latest filing Apr 1, 2022
First filing on the tape Apr 22, 2014 · 25 filings
RAUM
$341M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$318M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$341M as of Feb 10, 2022
Mar 19, 2015$132M then
HNW client RAUM$312M as of Feb 10, 2022
Mar 13, 2018$174M then
State-registered IARs (5.B.3)4 as of Feb 10, 2022
Mar 19, 20152 then
Employees (5.A)4 as of Feb 10, 2022
Mar 19, 20152 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Apr 1, 2022; every figure names its basis
RAUM per advisor
$85.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$177M, 65 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$312M94%
  • Charitable organizations$9.6M2.9%
  • Individuals$5.5M1.7%
  • Pension and profit-sharing plans$4.7M1.4%
  • Corporations and businesses$6,1630.0%
Individual clients
16reported
HNW clients
73reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
316reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$177M for 65 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
Joined, latest
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•••••• F••••• · Member And Advisorcontrol
      since 01/2009 · owns 50% to 75%
    • L•••••• M•••• C•••••• · Member, Advisor And Chief Compliance Officercontrol
      since 01/2009 · 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 · 300 to 316
      Aug 30, 2021 to Feb 10, 2022
    • HNW clients · 63 to 73
      Aug 30, 2021 to Feb 10, 2022
    • Individual clients · 17 to 16
      Aug 30, 2021 to Feb 10, 2022
    • Assets in custody · $148M to $177M
      Aug 30, 2021 to Feb 10, 2022
    • Discretionary RAUM · $297M to $341M
      Aug 30, 2021 to Feb 10, 2022
    • HNW RAUM · $268M to $312M
      Aug 30, 2021 to Feb 10, 2022
    • Individual RAUM · $7.2M to $5.5M
      Aug 30, 2021 to Feb 10, 2022
    • Pension RAUM · $4.0M to $4.7M
      Aug 30, 2021 to Feb 10, 2022
    • RAUM · $297M to $341M
      Aug 30, 2021 to Feb 10, 2022
    • Advisory employees · 3 to 4
      Feb 18, 2021 to Aug 30, 2021
    • Employees · 3 to 4
      Feb 18, 2021 to Aug 30, 2021
    • State-registered IARs · 3 to 4
      Feb 18, 2021 to Aug 30, 2021
    • Accounts · 292 to 300
      Nov 16, 2020 to Feb 18, 2021
    • HNW clients · 62 to 63
      Nov 16, 2020 to Feb 18, 2021
    • Individual clients · 15 to 17
      Nov 16, 2020 to Feb 18, 2021
    • Pension plan clients · 5.0 to unset
      Nov 16, 2020 to Feb 18, 2021
    • Assets in custody · $111M to $148M
      Nov 16, 2020 to Feb 18, 2021
    • Discretionary RAUM · $254M to $297M
      Nov 16, 2020 to Feb 18, 2021
    • HNW RAUM · $224M to $268M
      Nov 16, 2020 to Feb 18, 2021
    • Individual RAUM · $6.2M to $7.2M
      Nov 16, 2020 to Feb 18, 2021
    • Pension RAUM · $7.5M to $4.0M
      Nov 16, 2020 to Feb 18, 2021
    • RAUM · $254M to $297M
      Nov 16, 2020 to Feb 18, 2021
    • Accounts · 287 to 292
      Jul 30, 2019 to Mar 11, 2020
    • HNW clients · 52 to 62
      Jul 30, 2019 to Mar 11, 2020
    • Individual clients · 18 to 15
      Jul 30, 2019 to Mar 11, 2020
    • Assets in custody · $75.8M to $111M
      Jul 30, 2019 to Mar 11, 2020
    • Discretionary RAUM · $209M to $254M
      Jul 30, 2019 to Mar 11, 2020
    • HNW RAUM · $179M to $224M
      Jul 30, 2019 to Mar 11, 2020
    • Individual RAUM · $8.5M to $6.2M
      Jul 30, 2019 to Mar 11, 2020
    • Pension RAUM · $6.2M to $7.5M
      Jul 30, 2019 to Mar 11, 2020
    • RAUM · $209M to $254M
      Jul 30, 2019 to Mar 11, 2020
    • Accounts · 274 to 287
      Mar 13, 2018 to Mar 5, 2019
    • Advisory activities · 2 to 3
      Mar 13, 2018 to Mar 5, 2019
    • HNW clients · 49 to 52
      Mar 13, 2018 to Mar 5, 2019
    • Individual clients · 13 to 18
      Mar 13, 2018 to Mar 5, 2019
    • Assets in custody · $133M to $75.8M
      Mar 13, 2018 to Mar 5, 2019
    • Discretionary RAUM · $200M to $209M
      Mar 13, 2018 to Mar 5, 2019
    • HNW RAUM · $174M to $179M
      Mar 13, 2018 to Mar 5, 2019
    • Individual RAUM · $7.0M to $8.5M
      Mar 13, 2018 to Mar 5, 2019
    • Pension RAUM · $2.7M to $6.2M
      Mar 13, 2018 to Mar 5, 2019
    Signals
    6 dated events
    • ••• Locked
      Mar 8, 2023 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2023 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2023 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2023 · Advisor changed firm · fact
    • ••• Locked
      Mar 8, 2023 · Firm absorbed (people side) · derived
    • ••• Locked
      Apr 22, 2014 · 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