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
F••• C•••••• P•••••••• L•••
Latest filing May 5, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$986M
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
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$986M as of May 5, 2026
Mar 1, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 1, 20130 then
Employees (5.A)4 as of May 5, 2026
Mar 1, 20137 then
Private funds2 as of May 5, 2026
Mar 1, 20135 then
RAUM +27% over the last fiscal year+9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 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
- $493MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%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
- $986M, 2 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)
- 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$986M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $986M for 2 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=false 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• P•••••••• L• | Hedge Fund | $443M | 2 | Mar 29, 2017 |
| D•••• P•••••••• L••• | Hedge Fund | $360M | 5 | Feb 14, 2012 |
| F••• P••••••• I• L•••no longer reported | Hedge Fund | $105M | 12 | Feb 14, 2012 |
| N••• P•••••••• L•••no longer reported | Hedge Fund | $83.3M | 3 | Feb 14, 2012 |
| F••• O••••••• P•••••••• L•••no longer reported | Hedge Fund | $51.5M | 3 | Feb 14, 2012 |
| T•••• P•••••••• L•no longer reported | Hedge Fund | $43.8M | 1 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••• D••••• J••• · Chairman And Foundercontrolsince 05/2004 · owns 25% to 50%
- S••••••••• M•••••• I••• · Partnercontrolsince 05/2004 · owns 50% to 75%
- F•••• D••••• J••• · Membercontrolsince 05/2004 · owns 75% or more of F••• C•••••• A•••••••• L••
- J••••••• B••••• C••••••••• · Outsourced Cfo & Coosince 07/2020 · owns less than 5%
- W•••••••• J•••••••• P•••••• · Cco & Ciosince 02/2020 · owns less than 5%
Entity owners
- F••• C•••••• A•••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- F••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Hingham, MA1 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Assets in custody · $777M to $986MMar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $777M to $986MMar 27, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $777M to $986MMar 27, 2025 to Mar 24, 2026
- RAUM · $777M to $986MMar 27, 2025 to Mar 24, 2026
- Assets in custody · $803M to $777MAug 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Aug 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $803M to $777MAug 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $803M to $777MAug 22, 2024 to Mar 27, 2025
- RAUM · $803M to $777MAug 22, 2024 to Mar 27, 2025
- Assets in custody · $752M to $803MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $752M to $803MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $752M to $803MMar 30, 2023 to Mar 27, 2024
- RAUM · $752M to $803MMar 30, 2023 to Mar 27, 2024
- Assets in custody · $853M to $752MJan 30, 2023 to Mar 30, 2023
- Discretionary RAUM · $853M to $752MJan 30, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $853M to $752MJan 30, 2023 to Mar 30, 2023
- RAUM · $853M to $752MJan 30, 2023 to Mar 30, 2023
- Other offices · 0 to 2Mar 28, 2022 to Jan 30, 2023
- Assets in custody · $548M to $853MMar 18, 2021 to Mar 28, 2022
- Discretionary RAUM · $548M to $853MMar 18, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $548M to $853MMar 18, 2021 to Mar 28, 2022
- RAUM · $548M to $853MMar 18, 2021 to Mar 28, 2022
- Assets in custody · $454M to $548MMar 30, 2020 to Mar 18, 2021
- Discretionary RAUM · $454M to $548MMar 30, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $454M to $548MMar 30, 2020 to Mar 18, 2021
- RAUM · $454M to $548MMar 30, 2020 to Mar 18, 2021
- Accounts · 5 to 2Mar 28, 2019 to Mar 30, 2020
- Advisory employees · 7 to 3Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle clients · 5 to 2Mar 28, 2019 to Mar 30, 2020
- Assets in custody · $48.5M to $454MMar 28, 2019 to Mar 30, 2020
- Employees · 9 to 4Mar 28, 2019 to Mar 30, 2020
- Private funds · 5 to 2Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $770M to $454MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $770M to $454MMar 28, 2019 to Mar 30, 2020
- RAUM · $770M to $454MMar 28, 2019 to Mar 30, 2020
- Assets in custody · $61.3M to $48.5MMar 23, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.2B to $770MMar 23, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $1.2B to $770MMar 23, 2018 to Mar 28, 2019
- RAUM · $1.2B to $770MMar 23, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 5.0Mar 29, 2017 to Mar 23, 2018
Signals
4 dated events
- F••• C•••••• P•••••••• L••• reported RAUM $986.0M, up 27% from $776.7M (2025-03-27 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- F••• C•••••• P•••••••• L••• reported RAUM $852.8M, up 56% from $547.9M (2021-03-18 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- F••• C•••••• P•••••••• L••• reported RAUM $454.1M, down 41% from $770.1M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- F••• C•••••• P•••••••• L••• reported RAUM $770.1M, down 36% from $1.2B (2018-03-23 to 2019-03-28)Mar 28, 2019 · 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
- 212-492-8200reportedpublic record, Form ADV, May 5, 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