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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SEC-registered adviser
B••••• R••• C•••••• M••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Mar 27, 2012 · 31 filings
SEC status approved since Feb 18, 2010
RAUM
$536M
reported, Item 5.F
Discretionary
100%
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
5
3 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$536M as of Mar 4, 2026
Mar 27, 2012$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Mar 4, 2026
Feb 15, 20137 then
Private funds: no history
RAUM +8.9% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $268MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$536M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D••••• B•••• · Chief Investment Officercontrolsince 12/2009 · owns less than 5%
- B•••••• D••••••• S••••• · Portfolio Manager & Director Of Researchsince 12/2009 · owns less than 5%
- H•••••• S••••• · Compliance Officersince 03/2021 · owns less than 5%
- O••••••• G••••• A••••• · Chief Compliance Officersince 05/2017 · owns less than 5%
- P••••••••• L••• · Research Analyst And Tradersince 08/2024 · owns less than 5%
Entity owners
- R••••••• T•••• C•• · Memberdirect · owns 75% or more · public reporting company
- I••••••••• B••• C•••• · Parent Companyindirect · owns 75% or more of R••••••• Trust · public reporting company
Related persons
Schedule D 7.A
- R••••••• T•••• C••y
Offices
Schedule D 1.F, the 25 largest
- Hanover, MA2 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $492M to $536MJul 23, 2025 to Mar 4, 2026
- RAUM · $492M to $536MJul 23, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Mar 5, 2025 to Jul 23, 2025
- Discretionary RAUM · $483M to $492MOct 8, 2024 to Mar 5, 2025
- RAUM · $483M to $492MOct 8, 2024 to Mar 5, 2025
- Discretionary RAUM · $474M to $483MMar 11, 2024 to Aug 14, 2024
- RAUM · $474M to $483MMar 11, 2024 to Aug 14, 2024
- Discretionary RAUM · $402M to $474MSep 18, 2023 to Mar 11, 2024
- RAUM · $402M to $474MSep 18, 2023 to Mar 11, 2024
- Discretionary RAUM · $410M to $402MMar 16, 2022 to Mar 10, 2023
- RAUM · $410M to $402MMar 16, 2022 to Mar 10, 2023
- Advisory activities · 2 to 1Mar 8, 2021 to Mar 16, 2022
- Discretionary RAUM · $367M to $410MMar 8, 2021 to Mar 16, 2022
- RAUM · $367M to $410MMar 8, 2021 to Mar 16, 2022
- Advisory employees · 2 to 3May 29, 2020 to Mar 8, 2021
- Employees · 3 to 5May 29, 2020 to Mar 8, 2021
- Discretionary RAUM · $305M to $367MMay 29, 2020 to Mar 8, 2021
- RAUM · $305M to $367MMay 29, 2020 to Mar 8, 2021
- HQ city · R••••••• to HANOVERMar 5, 2020 to May 29, 2020
- Other offices · 2 to 1Mar 11, 2019 to Mar 5, 2020
- Discretionary RAUM · $268M to $305MMar 11, 2019 to Mar 5, 2020
- RAUM · $268M to $305MMar 11, 2019 to Mar 5, 2020
- Advisory employees · 3 to 2Mar 21, 2018 to Mar 11, 2019
- Employees · 5 to 3Mar 21, 2018 to Mar 11, 2019
- Discretionary RAUM · $298M to $268MMar 21, 2018 to Mar 11, 2019
- RAUM · $298M to $268MMar 21, 2018 to Mar 11, 2019
- Financial planning clients · unset to 0Oct 3, 2017 to Mar 21, 2018
- Discretionary RAUM · $284M to $298MOct 3, 2017 to Mar 21, 2018
- RAUM · $284M to $298MOct 3, 2017 to Mar 21, 2018
- Other offices · unset to 2.0May 4, 2017 to Oct 3, 2017
- Discretionary RAUM · $270M to $284MMay 4, 2017 to Oct 3, 2017
- RAUM · $270M to $284MMay 4, 2017 to Oct 3, 2017
- Employees · 6 to 5Feb 17, 2017 to May 4, 2017
- Advisory employees · 4 to 3Mar 7, 2016 to Feb 17, 2017
- Employees · 7 to 6Mar 7, 2016 to Feb 17, 2017
- Discretionary RAUM · $229M to $270MMar 7, 2016 to Feb 17, 2017
- RAUM · $229M to $270MMar 7, 2016 to Feb 17, 2017
- Accounts · 4 to 2Sep 25, 2015 to Mar 2, 2016
- Advisory employees · 5 to 4Sep 25, 2015 to Mar 2, 2016
- Employees · 8 to 7Sep 25, 2015 to Mar 2, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- B•••••R•••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-982-6792reportedpublic record, Form ADV, Mar 4, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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