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

M•••••• P••••••• A•••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 152727SEC 801-71007IAPD
Latest filing Mar 29, 2023
First filing on the tape Mar 21, 2012 · 25 filings
RAUM
$346M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.9%
$2.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
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$346M as of Mar 29, 2023
Mar 21, 2012$107M then
HNW client RAUM$2.9M as of Mar 29, 2023
Mar 28, 2018$16.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 21, 20120 then
Employees (5.A)7 as of Mar 29, 2023
Mar 25, 20138 then
Private funds: no history
RAUM -31% over the last fiscal year-9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
$1.5MderivedHNW RAUM over HNW clients
Average account
$23.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
75%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
-31%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$202M59%
  • Charitable organizations$57.8M17%
  • Corporations and businesses$41.1M12%
  • Pooled investment vehicles$37.2M11%
  • High-net-worth individuals$2.9M0.9%
Individual clients
0reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• W••••• J••••• · Managing Membercontrol
        since 12/2009 · owns 75% or more
      • Y•• S• C•••• · Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      • J••••• K•••••• X•• · Research Analyst
        since 10/2020 · owns 10% to 25%
      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 · 20 to 15
        Mar 29, 2022 to Mar 29, 2023
      • Advisory employees · 5 to 4
        Mar 29, 2022 to Mar 29, 2023
      • Charity clients · 3 to 2
        Mar 29, 2022 to Mar 29, 2023
      • Corporate clients · 8 to 5
        Mar 29, 2022 to Mar 29, 2023
      • Employees · 10 to 7
        Mar 29, 2022 to Mar 29, 2023
      • Discretionary RAUM · $503M to $346M
        Mar 29, 2022 to Mar 29, 2023
      • HNW RAUM · $3.5M to $2.9M
        Mar 29, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $45.2M to $37.2M
        Mar 29, 2022 to Mar 29, 2023
      • RAUM · $503M to $346M
        Mar 29, 2022 to Mar 29, 2023
      • Accounts · 21 to 20
        Mar 22, 2021 to Mar 29, 2022
      • Corporate clients · 9 to 8
        Mar 22, 2021 to Mar 29, 2022
      • HNW clients · 3 to 2
        Mar 22, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 2 to 1
        Mar 22, 2021 to Mar 29, 2022
      • Discretionary RAUM · $587M to $503M
        Mar 22, 2021 to Mar 29, 2022
      • HNW RAUM · $4.7M to $3.5M
        Mar 22, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $249M to $45.2M
        Mar 22, 2021 to Mar 29, 2022
      • RAUM · $587M to $503M
        Mar 22, 2021 to Mar 29, 2022
      • Accounts · 22 to 21
        Feb 9, 2021 to Mar 22, 2021
      • HNW clients · 5 to 3
        Feb 9, 2021 to Mar 22, 2021
      • Discretionary RAUM · $460M to $587M
        Feb 9, 2021 to Mar 22, 2021
      • HNW RAUM · $20.9M to $4.7M
        Feb 9, 2021 to Mar 22, 2021
      • Pooled vehicle RAUM · $221M to $249M
        Feb 9, 2021 to Mar 22, 2021
      • RAUM · $460M to $587M
        Feb 9, 2021 to Mar 22, 2021
      • Accounts · 31 to 22
        Nov 4, 2019 to Mar 20, 2020
      • Charity clients · 5 to 3
        Nov 4, 2019 to Mar 20, 2020
      • Corporate clients · 10 to 9
        Nov 4, 2019 to Mar 20, 2020
      • Pooled vehicle clients · 3 to 2
        Nov 4, 2019 to Mar 20, 2020
      • Employees · 9 to 10
        Nov 4, 2019 to Mar 20, 2020
      • Discretionary RAUM · $707M to $460M
        Nov 4, 2019 to Mar 20, 2020
      • HNW RAUM · $16.9M to $20.9M
        Nov 4, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $225M to $221M
        Nov 4, 2019 to Mar 20, 2020
      • RAUM · $707M to $460M
        Nov 4, 2019 to Mar 20, 2020
      • Employees · 10 to 9
        Mar 20, 2019 to Nov 4, 2019
      • Accounts · 28 to 31
        Jun 11, 2018 to Mar 20, 2019
      • Charity clients · 7 to 5
        Jun 11, 2018 to Mar 20, 2019
      • Corporate clients · 9 to 10
        Jun 11, 2018 to Mar 20, 2019
      • HNW clients · 4 to 5
        Jun 11, 2018 to Mar 20, 2019
      • Pooled vehicle clients · 2 to 3
        Jun 11, 2018 to Mar 20, 2019
      • Discretionary RAUM · $1.1B to $707M
        Jun 11, 2018 to Mar 20, 2019
      • HNW RAUM · $16.9M to $16.9M
        Jun 11, 2018 to Mar 20, 2019
      Signals
      7 dated events
      • M•••••• P••••••• A•••• M••••••••• L•• reported RAUM $345.5M, down 31% from $503.3M (2022-03-29 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • M•••••• P••••••• A•••• M••••••••• L•• reported RAUM $587.3M, up 28% from $460.3M (2021-02-09 to 2021-03-22)
        Mar 22, 2021 · RAUM change · derived
      • M•••••• P••••••• A•••• M••••••••• L•• reported RAUM $460.3M, down 35% from $706.8M (2019-11-04 to 2020-03-20)
        Mar 20, 2020 · RAUM change · derived
      • So Chong Yi (Chief Compliance Officer) appeared on Schedule A of M•••••• P••••••• A•••• M••••••••• L••
        Nov 4, 2019 · Control person joined · fact
      • James Henry Lawlor (Chief Compliance Officer) no longer on Schedule A of M•••••• P••••••• A•••• M••••••••• L•• (listed 2019-03-20, absent 2019-11-04)
        Nov 4, 2019 · Control person left · inference
      • M•••••• P••••••• A•••• M••••••••• L•• reported RAUM $706.8M, down 36% from $1.1B (2018-06-11 to 2019-03-20)
        Mar 20, 2019 · RAUM change · derived
      • M•••••• P••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 9, 2013 · Succession (Item 4) · 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