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Former SEC-registered adviser

F•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserWellesley, MassachusettsCRD 154802SEC 801-71753IAPD
Latest filing Sep 16, 2015
First filing on the tape Mar 23, 2012 · 20 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
57
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$29.9M as of Mar 31, 2015
Mar 23, 2012$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Apr 1, 201314 then
Employees (5.A)110 as of Mar 31, 2015
Apr 1, 201341 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 15 to 1
Practice profile
derived from the filing of Sep 16, 2015; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
57.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-38%derivedbetween the last two annual amendments
Advisor growth, one year
-93%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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)
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
0reported
Financial planning clients
n/areported
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
      • D••••• L••••• P••••• · Ceo And Elected Managercontrol
        since 11/2014 · owns less than 5%
      • D••••••••• D••••••• L•• · Coo, Cfocontrol
        since 06/2009 · owns less than 5%
      • F•••••• S••••• · Chief Distribution Officercontrol
        since 03/2015 · owns less than 5%
      • M•••• T•••••• F•••••••• · Elected Managercontrol
        since 07/2011 · owns less than 5%
      • P•••••• D••••• N••••• · Chief Restructuring Officercontrol
        since 07/2015 · owns less than 5%
      • R••••• S••••••• J• · Elected Managercontrol
        since 12/2009 · owns less than 5%
      • S••••••• A•• M•••• · Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • D••••• L••••• P••••• · Elected Managercontrol
        since 11/2011 · owns F of F•••••••• I••••••••• M••••••••• L••
      • M•••• T•••••• F•••••••• · Elected Managercontrol
        since 07/2011 · owns F of F•••••••• I••••••••• M••••••••• L••
      • R••••• S••••••• J• · Elected Managercontrol
        since 12/2009 · owns F of F•••••••• I••••••••• M••••••••• L••
      Entity owners
      • F•••••••• I••••••••• M••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list F•••••••• I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Ewing, NJ
      • Wellesley, MA
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 0
        Apr 15, 2015 to Jul 10, 2015
      • Advisory employees · 18 to 13
        Apr 15, 2015 to Jul 10, 2015
      • Employees · 110 to 57
        Apr 15, 2015 to Jul 10, 2015
      • Discretionary RAUM · $29.9M to $0
        Apr 15, 2015 to Jul 10, 2015
      • RAUM · $29.9M to $0
        Apr 15, 2015 to Jul 10, 2015
      • Advisory employees · 15 to 18
        Dec 23, 2014 to Mar 31, 2015
      • Employees · 115 to 110
        Dec 23, 2014 to Mar 31, 2015
      • State-registered IARs · 15 to 1
        Dec 23, 2014 to Mar 31, 2015
      • Discretionary RAUM · $51.6M to $29.9M
        Dec 23, 2014 to Mar 31, 2015
      • RAUM · $51.6M to $29.9M
        Dec 23, 2014 to Mar 31, 2015
      • Discretionary RAUM · $48.3M to $51.6M
        Jun 19, 2014 to Aug 29, 2014
      • RAUM · $48.3M to $51.6M
        Jun 19, 2014 to Aug 29, 2014
      • Employees · 90 to 115
        Jan 24, 2014 to Mar 31, 2014
      • Discretionary RAUM · $47.0M to $48.3M
        Jan 24, 2014 to Mar 31, 2014
      • RAUM · $47.0M to $48.3M
        Jan 24, 2014 to Mar 31, 2014
      • Accounts · 5 to 3
        Oct 10, 2013 to Jan 24, 2014
      • Discretionary RAUM · $6.8B to $47.0M
        Oct 10, 2013 to Jan 24, 2014
      • RAUM · $6.8B to $47.0M
        Oct 10, 2013 to Jan 24, 2014
      • Accounts · 12 to 5
        Sep 11, 2013 to Oct 10, 2013
      • Advisory employees · 18 to 15
        Sep 11, 2013 to Oct 10, 2013
      • Employees · 60 to 90
        Sep 11, 2013 to Oct 10, 2013
      • State-registered IARs · 18 to 15
        Sep 11, 2013 to Oct 10, 2013
      • Discretionary RAUM · $6.1B to $6.8B
        Sep 11, 2013 to Oct 10, 2013
      • Non-discretionary RAUM · $3.9B to $0
        Sep 11, 2013 to Oct 10, 2013
      • RAUM · $10B to $6.8B
        Sep 11, 2013 to Oct 10, 2013
      • HQ city · NEWTON to WELLESLEY
        Jun 24, 2013 to Sep 11, 2013
      • Accounts · 11 to 12
        Apr 24, 2013 to Jun 24, 2013
      • Advisory employees · 23 to 18
        Apr 24, 2013 to Jun 24, 2013
      • Employees · 41 to 60
        Apr 24, 2013 to Jun 24, 2013
      • State-registered IARs · 14 to 18
        Apr 24, 2013 to Jun 24, 2013
      • Discretionary RAUM · $4.5B to $6.1B
        Apr 24, 2013 to Jun 24, 2013
      • Non-discretionary RAUM · $2.6B to $3.9B
        Apr 24, 2013 to Jun 24, 2013
      • RAUM · $7.1B to $10B
        Apr 24, 2013 to Jun 24, 2013
      • Accounts · 7 to 11
        Jan 3, 2013 to Apr 1, 2013
      • Advisory employees · 22 to 23
        Jan 3, 2013 to Apr 1, 2013
      • BD registered reps · 1 to 0
        Jan 3, 2013 to Apr 1, 2013
      • Employees · 37 to 41
        Jan 3, 2013 to Apr 1, 2013
      • Discretionary RAUM · $4.1B to $4.5B
        Jan 3, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $796M to $2.6B
        Jan 3, 2013 to Apr 1, 2013
      • RAUM · $4.9B to $7.1B
        Jan 3, 2013 to Apr 1, 2013
      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