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

C•••• A•••• M•••••••••

Former SEC-registered adviserBoston, MassachusettsCRD 154074SEC 801-67120IAPD
Legal name C•••• A•••• M••••••••• L••
Latest filing Jun 13, 2013
First filing on the tape Nov 17, 2011 · 6 filings
RAUM
$54.0M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$54.0M as of Apr 1, 2013
Jan 11, 2012$291M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 6
Private funds: no history
RAUM -81% over the last fiscal year
Practice profile
derived from the filing of Jun 13, 2013; every figure names its basis
RAUM per advisor
$18.0MderivedRAUM 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
$206,107derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-81%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 individuals, publicationsreportedItem 5.G
Custody
$4.5M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
262reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.5M for 1 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••••• M••••••• J••• · Managing Partner; Sr. Investment Consultantcontrol
    since 08/2006 · owns 50% to 75%
  • S•••••• J•••••••• C•••••• · Partner; Chief Operating Officer; Chief Compliance Officercontrol
    since 08/2006 · owns 10% to 25%
  • C••••• R•••••• W••• · Member
    since 08/2006 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 847 to 262
    Feb 6, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Feb 6, 2012 to Apr 1, 2013
  • BD registered reps · unset to 4.0
    Feb 6, 2012 to Apr 1, 2013
  • Assets in custody · unset to 4500000.0
    Feb 6, 2012 to Apr 1, 2013
  • Custody of client assets · false to true
    Feb 6, 2012 to Apr 1, 2013
  • Employees · unset to 6.0
    Feb 6, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 3.0
    Feb 6, 2012 to Apr 1, 2013
  • Discretionary RAUM · $291M to $54.0M
    Feb 6, 2012 to Apr 1, 2013
  • RAUM · $291M to $54.0M
    Feb 6, 2012 to Apr 1, 2013
  • Accounts · 999 to 847
    Nov 17, 2011 to Jan 11, 2012
  • Advisory activities · 1 to 2
    Nov 17, 2011 to Jan 11, 2012
  • Discretionary RAUM · $362M to $291M
    Nov 17, 2011 to Jan 11, 2012
  • RAUM · $362M to $291M
    Nov 17, 2011 to Jan 11, 2012
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.
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