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

D••••••• A••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 153197SEC 801-71166IAPD
Latest filing Jun 28, 2021
First filing on the tape Mar 8, 2012 · 32 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.3B as of Mar 17, 2021
Mar 8, 2012$670M then
HNW client RAUM$1.3B as of Mar 17, 2021
Mar 27, 2018$1.1B then
State-registered IARs (5.B.3)12 as of Mar 17, 2021
Mar 8, 20120 then
Employees (5.A)27 as of Mar 17, 2021
Jan 31, 201317 then
Private funds: no history
RAUM +14% over the last fiscal year+5.2% a year over threeIARs 13 to 12
Practice profile
derived from the filing of Jun 28, 2021; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$946,545derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
-7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
Custody
$130M, 111 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.3B100%
Individual clients
n/areported
HNW clients
266reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,386reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$130M for 111 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • A••••••••• S••••• · Presidentcontrol
      since 11/2020 · owns less than 5%
    • A••••••••• K••••• M•••• · Chief Compliance Officer & Chief Operating Officercontrol
      since 08/2014 · owns less than 5%
    • B•••••• D••••• L•• · Ceo, Managing Partner And Membercontrol
      since 02/2010 · owns 50% to 75%
    • F••••••• K•••• M••• · Chief Investment Officer And Partnercontrol
      since 05/2010 · owns 5% to 10%
    • S•••••••• W••••••• G• · Partnercontrol
      since 03/2012 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,331 to 1,386
      Feb 22, 2021 to Mar 17, 2021
    • HNW clients · 249 to 266
      Feb 22, 2021 to Mar 17, 2021
    • Assets in custody · $88.7M to $130M
      Feb 22, 2021 to Mar 17, 2021
    • Employees · 26 to 27
      Feb 22, 2021 to Mar 17, 2021
    • Financial planning clients · 26-50 to 11-25
      Feb 22, 2021 to Mar 17, 2021
    • Discretionary RAUM · $1.1B to $1.3B
      Feb 22, 2021 to Mar 17, 2021
    • HNW RAUM · $1.2B to $1.3B
      Feb 22, 2021 to Mar 17, 2021
    • Non-discretionary RAUM · $23.3M to $21.5M
      Feb 22, 2021 to Mar 17, 2021
    • RAUM · $1.2B to $1.3B
      Feb 22, 2021 to Mar 17, 2021
    • Advisory employees · 13 to 12
      Dec 10, 2020 to Jan 12, 2021
    • State-registered IARs · 13 to 12
      Dec 10, 2020 to Jan 12, 2021
    • Accounts · 1,330 to 1,331
      Nov 8, 2019 to Mar 20, 2020
    • Advisory employees · 14 to 13
      Nov 8, 2019 to Mar 20, 2020
    • HNW clients · 242 to 249
      Nov 8, 2019 to Mar 20, 2020
    • Assets in custody · $126M to $88.7M
      Nov 8, 2019 to Mar 20, 2020
    • Employees · 28 to 26
      Nov 8, 2019 to Mar 20, 2020
    • State-registered IARs · 14 to 13
      Nov 8, 2019 to Mar 20, 2020
    • Discretionary RAUM · $1.0B to $1.1B
      Nov 8, 2019 to Mar 20, 2020
    • HNW RAUM · $1.0B to $1.2B
      Nov 8, 2019 to Mar 20, 2020
    • Non-discretionary RAUM · $13.9M to $23.3M
      Nov 8, 2019 to Mar 20, 2020
    • RAUM · $1.0B to $1.2B
      Nov 8, 2019 to Mar 20, 2020
    • Accounts · 1,226 to 1,330
      Dec 20, 2018 to Mar 29, 2019
    • HNW clients · 233 to 242
      Dec 20, 2018 to Mar 29, 2019
    • Assets in custody · $244M to $126M
      Dec 20, 2018 to Mar 29, 2019
    • Employees · 27 to 28
      Dec 20, 2018 to Mar 29, 2019
    • Insurance-licensed employees · 0 to 2
      Dec 20, 2018 to Mar 29, 2019
    • Financial planning clients · 11-25 to 26-50
      Dec 20, 2018 to Mar 29, 2019
    • Discretionary RAUM · $1.1B to $1.0B
      Dec 20, 2018 to Mar 29, 2019
    • HNW RAUM · $1.1B to $1.0B
      Dec 20, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $18.7M to $13.9M
      Dec 20, 2018 to Mar 29, 2019
    • RAUM · $1.1B to $1.0B
      Dec 20, 2018 to Mar 29, 2019
    • Other offices · 0 to 1
      Sep 10, 2018 to Nov 8, 2018
    • Related adviser · false to true
      Apr 26, 2018 to Jul 30, 2018
    • Accounts · 1,123 to 1,226
      Mar 23, 2017 to Mar 27, 2018
    • Advisory employees · 13 to 14
      Mar 23, 2017 to Mar 27, 2018
    • Advisory activities · 4 to 5
      Mar 23, 2017 to Mar 27, 2018
    • HNW clients · unset to 233.0
      Mar 23, 2017 to Mar 27, 2018
    • Assets in custody · $163M to $244M
      Mar 23, 2017 to Mar 27, 2018
    • Employees · 29 to 27
      Mar 23, 2017 to Mar 27, 2018
    • State-registered IARs · 13 to 14
      Mar 23, 2017 to Mar 27, 2018
    Signals
    17 dated events
    • D••••••• A••••••• L••'s advisors moved to C••••• P••••••• L•• (Boston, MA): 8 of 11 registered, on the same day
      Jan 6, 2022 · Firm absorbed (people side) · derived
    • M••• S•••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • D•••• L•• B••••• left D••••••• A••••••• L•• for F•••• T•••• D••••• I••••••• (registered 2018-12-06)
      Jan 6, 2022 · Advisor changed firm · fact
    • B•••••• C•••••• A•••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • S•••••• P•••••• O••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • L••••• N• D••••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • W•••••• G• S••••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • K••• M••• F•••••• left D••••••• A••••••• L•• for F•••• T•••• D••••• I••••••• (registered 2018-12-06)
      Jan 6, 2022 · Advisor changed firm · fact
    • A•••••••• J••••••• G•••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • J•••• M•••• M••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • S••••• A••••••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-01-11)
      Jan 6, 2022 · Advisor changed firm · fact
    • E••• P••••••• K••••• left D••••••• A••••••• L•• for C••••• P••••••• L•• (registered 2022-02-08)
      Jan 6, 2022 · Advisor changed firm · fact
    • 2 advisors left D••••••• A••••••• L•• (Boston, MA) for F•••• T•••• D••••• I••••••• on the same day
      Jan 6, 2022 · Team lift-out · derived
    • Preston Stephen Oliver (Partner) no longer on Schedule A of D••••••• A••••••• L•• (listed 2021-02-22, absent 2021-03-17)
      Mar 17, 2021 · Control person left · inference
    • James Eric Godes (Executive Strategist) no longer on Schedule A of D••••••• A••••••• L•• (listed 2021-02-22, absent 2021-03-17)
      Mar 17, 2021 · Control person left · inference
    • S••••• A••••••••• (President) appeared on Schedule A of D••••••• A••••••• L••
      Dec 10, 2020 · Control person joined · fact
    • M••• S•••••• (Partner) no longer on Schedule A of D••••••• A••••••• L•• (listed 2018-12-20, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    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