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••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 155454SEC 801-73594IAPD
Latest filing Jun 11, 2018
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$2.6B
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
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$2.6B gross assets
History
12 filings and snapshots on the tape
RAUM$2.6B as of Mar 29, 2018
Mar 28, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)10 as of Mar 29, 2018
Mar 28, 20137 then
Private funds3 as of Mar 29, 2018
Mar 28, 20134 then
RAUM +4.1% over the last fiscal year+5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 2018; 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
unknownderivedHNW RAUM over HNW clients
Average account
$436MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.6B, 5 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
  • 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)
  • 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
  • Pooled investment vehicles$2.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.6B for 5 clientsreported
Compensation
% of AUM, performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• C•••••• O••••••• F•••• L•••no longer reportedHedge Fund$764M58Feb 14, 2012
      C••••• C•••••• F••• L•••no longer reportedHedge Fund$656M102Feb 14, 2012
      C••••• C•••••• O••••••••• F••• L•Hedge Fund$20,6720Jul 20, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• S••••••• R••••• · Limited Partnercontrol
        since 02/2006 · owns 75% or more
      • F••••• B••••• J•••• · Chief Operating Officercontrol
        since 02/2010 · owns less than 5%
      • G•••••• S••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 02/2010 · owns less than 5%
      Entity owners
      • C••••• C•••••• P••••••• I• L•• · General Partner
        direct · owns 75% or more
      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
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 29, 2018 to Jun 11, 2018
      • Private funds · 3 to 2
        Mar 29, 2018 to Jun 11, 2018
      • Succession · false to true
        Mar 29, 2018 to Jun 11, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $764M to $2.6B
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Private funds · 5 to 3
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.5B to $2.6B
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2570925859.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $2.5B to $2.6B
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 5 to 6
        Jul 20, 2016 to Mar 28, 2017
      • Advisory employees · 4 to 6
        Jul 20, 2016 to Mar 28, 2017
      • Assets in custody · $0 to $764M
        Jul 20, 2016 to Mar 28, 2017
      • Employees · 8 to 10
        Jul 20, 2016 to Mar 28, 2017
      • Discretionary RAUM · $2.6B to $2.5B
        Jul 20, 2016 to Mar 28, 2017
      • RAUM · $2.6B to $2.5B
        Jul 20, 2016 to Mar 28, 2017
      • Private funds · 4 to 5
        Jun 21, 2016 to Jul 20, 2016
      • Employees · 7 to 8
        Mar 30, 2015 to Mar 24, 2016
      • Discretionary RAUM · $2.2B to $2.6B
        Mar 30, 2015 to Mar 24, 2016
      • RAUM · $2.2B to $2.6B
        Mar 30, 2015 to Mar 24, 2016
      • Discretionary RAUM · $1.7B to $2.2B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $1.7B to $2.2B
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.1B to $1.7B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $1.1B to $1.7B
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 6 to 5
        Jan 15, 2013 to Mar 28, 2013
      • Discretionary RAUM · $958M to $1.1B
        Jan 15, 2013 to Mar 28, 2013
      • RAUM · $958M to $1.1B
        Jan 15, 2013 to Mar 28, 2013
      • Related bank · false to true
        Jan 15, 2013 to Mar 28, 2013
      • Assets in custody · $838M to $0
        Jan 7, 2013 to Jan 15, 2013
      • Advisory employees · unset to 4.0
        Feb 14, 2012 to Jan 7, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Jan 7, 2013
      • Business name · C••••• C•••••• to C••••• C•••••• M••••••••• L••
        Feb 14, 2012 to Jan 7, 2013
      • Assets in custody · unset to 837997702.0
        Feb 14, 2012 to Jan 7, 2013
      • Custody of client assets · false to true
        Feb 14, 2012 to Jan 7, 2013
      • Employees · unset to 7.0
        Feb 14, 2012 to Jan 7, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Jan 7, 2013
      Signals
      1 dated events
      • C••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 11, 2018 · 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