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•••••

Former SEC-registered adviserPittsfield, MassachusettsCRD 150814SEC 801-70407IAPD
Legal name A•••• L••
Latest filing Dec 7, 2023
First filing on the tape Mar 15, 2012 · 31 filings
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$130M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$132M as of Mar 23, 2023
Mar 15, 2012$108M then
HNW client RAUM$92.7M as of Mar 23, 2023
Jan 11, 2018$86.2M then
State-registered IARs (5.B.3)2 as of Mar 23, 2023
Mar 15, 20120 then
Employees (5.A)4 as of Mar 23, 2023
Mar 1, 20134 then
Private funds: no history
RAUM -12% over the last fiscal year+1.7% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Dec 7, 2023; every figure names its basis
RAUM per advisor
$66.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
128derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$996,865derivedHNW RAUM over HNW clients
Average account
$289,629derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.9%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$12.7M, 21 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$92.7M70%
  • Individuals$37.4M28%
  • Pension and profit-sharing plans$1.8M1.4%
  • Charitable organizations$462,5800.3%
Individual clients
162reported
HNW clients
93reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
457reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$12.7M for 21 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
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
    • F••••••• P•••• A•••••••• · Managing Directorcontrol
      since 01/2022 · owns 5% to 10%
    • R••••••• L••••• A•••••••• · Founder, Chief Executive Officer And Chief Compliance Officercontrol
      since 07/2009 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Pittsfield, Ma · principal000
    Portsmouth, Nh000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 454 to 457
      Nov 4, 2022 to Mar 23, 2023
    • Advisory activities · 4 to 2
      Nov 4, 2022 to Mar 23, 2023
    • HNW clients · 89 to 93
      Nov 4, 2022 to Mar 23, 2023
    • Individual clients · 188 to 162
      Nov 4, 2022 to Mar 23, 2023
    • Assets in custody · $24.9M to $12.7M
      Nov 4, 2022 to Mar 23, 2023
    • Custody of client assets · false to true
      Nov 4, 2022 to Mar 23, 2023
    • Employees · 3 to 4
      Nov 4, 2022 to Mar 23, 2023
    • Other offices · 0 to 1
      Nov 4, 2022 to Mar 23, 2023
    • Discretionary RAUM · $150M to $132M
      Nov 4, 2022 to Mar 23, 2023
    • HNW RAUM · $105M to $92.7M
      Nov 4, 2022 to Mar 23, 2023
    • Individual RAUM · $42.5M to $37.4M
      Nov 4, 2022 to Mar 23, 2023
    • Pension RAUM · $1.9M to $1.8M
      Nov 4, 2022 to Mar 23, 2023
    • RAUM · $150M to $132M
      Nov 4, 2022 to Mar 23, 2023
    • Advisory activities · 3 to 4
      Jul 8, 2022 to Nov 4, 2022
    • Accounts · 376 to 454
      Dec 2, 2021 to Mar 21, 2022
    • Advisory employees · 3 to 2
      Dec 2, 2021 to Mar 21, 2022
    • HNW clients · 58 to 89
      Dec 2, 2021 to Mar 21, 2022
    • Individual clients · 166 to 188
      Dec 2, 2021 to Mar 21, 2022
    • Assets in custody · $30.0M to $24.9M
      Dec 2, 2021 to Mar 21, 2022
    • Employees · 5 to 3
      Dec 2, 2021 to Mar 21, 2022
    • State-registered IARs · 3 to 2
      Dec 2, 2021 to Mar 21, 2022
    • Discretionary RAUM · $131M to $150M
      Dec 2, 2021 to Mar 21, 2022
    • HNW RAUM · $84.6M to $105M
      Dec 2, 2021 to Mar 21, 2022
    • Individual RAUM · $39.5M to $42.5M
      Dec 2, 2021 to Mar 21, 2022
    • Pension RAUM · $1.7M to $1.9M
      Dec 2, 2021 to Mar 21, 2022
    • RAUM · $131M to $150M
      Dec 2, 2021 to Mar 21, 2022
    • Other offices · 1 to 0
      Jun 24, 2021 to Aug 27, 2021
    • Advisory employees · 4 to 3
      Mar 25, 2021 to Jun 24, 2021
    • Employees · 6 to 5
      Mar 25, 2021 to Jun 24, 2021
    • State-registered IARs · 4 to 3
      Mar 25, 2021 to Jun 24, 2021
    • Other offices · 2 to 1
      Mar 25, 2021 to Jun 24, 2021
    • Accounts · 381 to 376
      Nov 18, 2020 to Mar 25, 2021
    • Advisory employees · 3 to 4
      Nov 18, 2020 to Mar 25, 2021
    • HNW clients · 48 to 58
      Nov 18, 2020 to Mar 25, 2021
    • Individual clients · 133 to 166
      Nov 18, 2020 to Mar 25, 2021
    • Assets in custody · $25.0M to $30.0M
      Nov 18, 2020 to Mar 25, 2021
    • Employees · 4 to 6
      Nov 18, 2020 to Mar 25, 2021
    • State-registered IARs · 3 to 4
      Nov 18, 2020 to Mar 25, 2021
    • Discretionary RAUM · $126M to $131M
      Nov 18, 2020 to Mar 25, 2021
    • HNW RAUM · $86.4M to $84.6M
      Nov 18, 2020 to Mar 25, 2021
    Signals
    5 dated events
    • P••• A•••••••• F•••••• left W••••• for M••••• A••••••• (registered 2023-10-02)
      Dec 20, 2023 · a•••••• firm change · fact
    • L•••• A•••••••• R•••••• left W••••• for M••••• A••••••• (registered 2023-09-29)
      Dec 20, 2023 · a•••••• firm change · fact
    • A•••••• E•••••••• L••••• left W••••• for M••••• A••••••• (registered 2023-11-29)
      Dec 7, 2023 · a•••••• firm change · fact
    • 2 advisors left W••••• (Pittsfield, MA) for M••••• A••••••• within 13 days
      Dec 7, 2023 · Team lift-out · derived
    • A•••••••• P••• F•••••• (Vp Of Sustainable Investments) appeared on Schedule A of W•••••
      Mar 25, 2021 · Control person joined · 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