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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SEC-registered adviser
T••••••• A•••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 29, 2012
RAUM
$1.1B
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.1B as of Mar 9, 2026
Mar 26, 2013$277M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Mar 26, 20130 then
Employees (5.A)3 as of Mar 9, 2026
Mar 26, 20132 then
Private funds1 as of Mar 9, 2026
Mar 26, 20131 then
RAUM +3.8% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2026; 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
- $1.1BderivedRAUM 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
- +3.8%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.1B, 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)
- 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$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• F••• L• | Hedge Fund | $753M | 14 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••• C• · Chief Compliance Officer And Chief Financial Officercontrolsince 10/2003 · owns less than 5%
- M••••• C•••• · Presidentcontrolsince 10/2003 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••• C••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.1B to $1.1BMay 14, 2025 to Mar 9, 2026
- Discretionary RAUM · $1.1B to $1.1BMay 14, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $1.1B to $1.1BMay 14, 2025 to Mar 9, 2026
- RAUM · $1.1B to $1.1BMay 14, 2025 to Mar 9, 2026
- Financial planning clients · unset to Mar 11, 2025 to May 14, 2025
- Assets in custody · $753M to $1.1BMar 5, 2024 to Mar 11, 2025
- Discretionary RAUM · $753M to $1.1BMar 5, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $753M to $1.1BMar 5, 2024 to Mar 11, 2025
- RAUM · $753M to $1.1BMar 5, 2024 to Mar 11, 2025
- Assets in custody · $778M to $753MMar 21, 2023 to Mar 5, 2024
- Discretionary RAUM · $778M to $753MMar 21, 2023 to Mar 5, 2024
- Pooled vehicle RAUM · $778M to $753MMar 21, 2023 to Mar 5, 2024
- RAUM · $778M to $753MMar 21, 2023 to Mar 5, 2024
- Assets in custody · $1.5B to $778MMar 23, 2022 to Mar 21, 2023
- Discretionary RAUM · $1.5B to $778MMar 23, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $1.5B to $778MMar 23, 2022 to Mar 21, 2023
- RAUM · $1.5B to $778MMar 23, 2022 to Mar 21, 2023
- Assets in custody · $1.0B to $1.5BMar 16, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.0B to $1.5BMar 16, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $1.0B to $1.5BMar 16, 2021 to Mar 23, 2022
- RAUM · $1.0B to $1.5BMar 16, 2021 to Mar 23, 2022
- Assets in custody · $774M to $1.0BMar 20, 2020 to Mar 16, 2021
- Discretionary RAUM · $774M to $1.0BMar 20, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $774M to $1.0BMar 20, 2020 to Mar 16, 2021
- RAUM · $774M to $1.0BMar 20, 2020 to Mar 16, 2021
- Assets in custody · $653M to $774MMar 26, 2019 to Mar 20, 2020
- Discretionary RAUM · $653M to $774MMar 26, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $653M to $774MMar 26, 2019 to Mar 20, 2020
- RAUM · $653M to $774MMar 26, 2019 to Mar 20, 2020
- Assets in custody · $535M to $653MMar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $535M to $653MMar 27, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $535M to $653MMar 27, 2018 to Mar 26, 2019
- RAUM · $535M to $653MMar 27, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 1.0Jul 31, 2017 to Mar 27, 2018
- Assets in custody · $497M to $535MJul 31, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Jul 31, 2017 to Mar 27, 2018
- Discretionary RAUM · $468M to $535MJul 31, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 535490701.0Jul 31, 2017 to Mar 27, 2018
- RAUM · $468M to $535MJul 31, 2017 to Mar 27, 2018
- Discretionary RAUM · $497M to $468MMar 29, 2017 to Jul 31, 2017
Signals
4 dated events
- T••••••• A•••• M••••••••• L•• reported RAUM $1.1B, up 46% from $753.3M (2024-03-05 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- T••••••• A•••• M••••••••• L•• reported RAUM $778.2M, down 49% from $1.5B (2022-03-23 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- T••••••• A•••• M••••••••• L•• reported RAUM $1.5B, up 48% from $1.0B (2021-03-16 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- T••••••• A•••• M••••••••• L•• reported RAUM $1.0B, up 34% from $773.7M (2020-03-20 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-526-8912reportedpublic record, Form ADV, Mar 9, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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