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

F••••••••• I• T•••

Former SEC-registered adviserStoneham, MassachusettsCRD 156200SEC 801-117891websiteIAPD
Legal name F••••••••• I• T•••• L••
Latest filing Feb 5, 2026
First filing on the tape Dec 3, 2019 · 15 filings
SEC status approved since Jan 6, 2020
RAUM
$326M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$326M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$326M as of Feb 5, 2026
Mar 1, 2020$117M then
HNW client RAUM$294M as of Feb 5, 2026
Mar 1, 2020$84.2M then
State-registered IARs (5.B.3)4 as of Feb 5, 2026
Mar 1, 20203 then
Employees (5.A)4 as of Feb 5, 2026
Mar 1, 20203 then
Private funds: no history
RAUM +19% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
RAUM per advisor
$81.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$377,601derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.7%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$294M90%
  • Individuals$32.6M10.0%
Individual clients
59reported
HNW clients
116reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
864reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
4 left, 0 joined in 12 months
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••• P•••••• C•••••• · Minority Shareholder/Principal/Chief Compliance Officercontrol
    since 01/2018 · owns 10% to 25%
  • M••••• A•••••• A••• · Minority Shareholder/Principalcontrol
    since 01/2018 · owns 10% to 25%
  • S•••••••• J•••••• G••••• · Managing Member/Principalcontrol
    since 01/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Stoneham, Ma · principal004
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 937 to 864
    Feb 25, 2025 to Feb 5, 2026
  • HNW clients · 95 to 116
    Feb 25, 2025 to Feb 5, 2026
  • Individual clients · 69 to 59
    Feb 25, 2025 to Feb 5, 2026
  • Assets in custody · 1229477.0 to unset
    Feb 25, 2025 to Feb 5, 2026
  • Custody of client assets · true to false
    Feb 25, 2025 to Feb 5, 2026
  • Discretionary RAUM · $265M to $319M
    Feb 25, 2025 to Feb 5, 2026
  • HNW RAUM · $233M to $294M
    Feb 25, 2025 to Feb 5, 2026
  • Individual RAUM · $38.4M to $32.6M
    Feb 25, 2025 to Feb 5, 2026
  • Non-discretionary RAUM · $8.6M to $7.0M
    Feb 25, 2025 to Feb 5, 2026
  • Pension RAUM · 2903098.0 to unset
    Feb 25, 2025 to Feb 5, 2026
  • RAUM · $274M to $326M
    Feb 25, 2025 to Feb 5, 2026
  • Accounts · 848 to 937
    Aug 21, 2024 to Feb 25, 2025
  • HNW clients · 80 to 95
    Aug 21, 2024 to Feb 25, 2025
  • Individual clients · 72 to 69
    Aug 21, 2024 to Feb 25, 2025
  • Assets in custody · $47,607 to $1.2M
    Aug 21, 2024 to Feb 25, 2025
  • Financial planning clients · 101-250 to 101-250
    Aug 21, 2024 to Feb 25, 2025
  • Discretionary RAUM · $216M to $265M
    Aug 21, 2024 to Feb 25, 2025
  • HNW RAUM · $183M to $233M
    Aug 21, 2024 to Feb 25, 2025
  • Individual RAUM · $38.0M to $38.4M
    Aug 21, 2024 to Feb 25, 2025
  • Non-discretionary RAUM · $6.9M to $8.6M
    Aug 21, 2024 to Feb 25, 2025
  • Pension RAUM · $1.6M to $2.9M
    Aug 21, 2024 to Feb 25, 2025
  • RAUM · $223M to $274M
    Aug 21, 2024 to Feb 25, 2025
  • Advisory activities · 3 to 4
    Apr 17, 2024 to Aug 21, 2024
  • Accounts · 780 to 848
    Feb 10, 2023 to Jan 25, 2024
  • HNW clients · 63 to 80
    Feb 10, 2023 to Jan 25, 2024
  • Individual clients · 86 to 72
    Feb 10, 2023 to Jan 25, 2024
  • Assets in custody · $320,082 to $47,607
    Feb 10, 2023 to Jan 25, 2024
  • Discretionary RAUM · $173M to $216M
    Feb 10, 2023 to Jan 25, 2024
  • HNW RAUM · $136M to $183M
    Feb 10, 2023 to Jan 25, 2024
  • Individual RAUM · $44.2M to $38.0M
    Feb 10, 2023 to Jan 25, 2024
  • Non-discretionary RAUM · $7.4M to $6.9M
    Feb 10, 2023 to Jan 25, 2024
  • Pension RAUM · $655,819 to $1.6M
    Feb 10, 2023 to Jan 25, 2024
  • RAUM · $180M to $223M
    Feb 10, 2023 to Jan 25, 2024
  • Accounts · 698 to 780
    Jun 1, 2022 to Feb 10, 2023
  • Advisory activities · 4 to 3
    Jun 1, 2022 to Feb 10, 2023
  • HNW clients · 62 to 63
    Jun 1, 2022 to Feb 10, 2023
  • Individual clients · 137 to 86
    Jun 1, 2022 to Feb 10, 2023
  • Assets in custody · $1.4M to $320,082
    Jun 1, 2022 to Feb 10, 2023
  • Discretionary RAUM · $162M to $173M
    Jun 1, 2022 to Feb 10, 2023
  • HNW RAUM · $136M to $136M
    Jun 1, 2022 to Feb 10, 2023
Signals
7 dated events
  • F••••••••• I• T••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $326.2M)
    Sep 1, 2026 · Left the SEC roster · derived
  • A••••• A••• M•••• left F••••••••• I• T••• for B••••• P••••• A•••••••• L•• (registered 2026-05-19)
    Aug 5, 2026 · Advisor changed firm · fact
  • J••••••• D•••• K•••••• left F••••••••• I• T••• for B••••• P••••• A•••••••• L•• (registered 2026-05-13)
    Aug 5, 2026 · Advisor changed firm · fact
  • P••••• C•••••• L•• left F••••••••• I• T••• for B••••• P••••• A•••••••• L•• (registered 2026-05-06)
    Aug 5, 2026 · Advisor changed firm · fact
  • J••••• G••••• S••••••• left F••••••••• I• T••• for B••••• P••••• A•••••••• L•• (registered 2026-05-11)
    Aug 5, 2026 · Advisor changed firm · fact
  • F••••••••• I• T•••'s advisors moved to B••••• P••••• A•••••••• L•• (Stoneham, MA): 4 of 4 registered, on the same day
    Aug 5, 2026 · Firm absorbed (people side) · derived
  • F••••••••• I• T••• filed its initial SEC registration (Form ADV)
    Dec 3, 2019 · First SEC registration · 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