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

I••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 157282SEC 801-72811IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$38.6M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$38.6M gross assets
History
8 filings and snapshots on the tape
RAUM$38.6M as of Mar 31, 2017
Mar 30, 2012$49.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2017
Apr 1, 20134 then
Private funds1 as of Mar 31, 2017
Mar 30, 20122 then
RAUM -18% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$19.3MderivedRAUM 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
-18%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 vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••••• C•••••• P•••••••• L•••Hedge Fund$38.6M18Mar 30, 2012
      I••••••••• C•••••• P•••••••• L•••no longer reportedHedge Fund$17.0M6Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••••• L••• · Managercontrol
        since 05/2007 · owns 50% to 75%
      • P••••••••• P•••• · Managercontrol
        since 05/2007 · owns 50% to 75%
      • B••••• K••••••• E••••• · Chief Compliance Officer
        since 07/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list I••••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · unset to 38612072.0
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $46.9M to $38.6M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $46.9M to $38.6M
        Mar 30, 2016 to Mar 31, 2017
      • Financial planning clients · 0 to unset
        Mar 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $50.9M to $46.9M
        Mar 25, 2015 to Mar 30, 2016
      • RAUM · $50.9M to $46.9M
        Mar 25, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 1
        Aug 8, 2014 to Mar 25, 2015
      • Employees · 4 to 2
        Aug 8, 2014 to Mar 25, 2015
      • Discretionary RAUM · $54.6M to $50.9M
        Aug 8, 2014 to Mar 25, 2015
      • RAUM · $54.6M to $50.9M
        Aug 8, 2014 to Mar 25, 2015
      • Discretionary RAUM · $60.3M to $54.6M
        Mar 31, 2014 to Aug 8, 2014
      • RAUM · $60.3M to $54.6M
        Mar 31, 2014 to Aug 8, 2014
      • Discretionary RAUM · $52.4M to $60.3M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $52.4M to $60.3M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · 2 to 1
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $49.3M to $52.4M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $49.3M to $52.4M
        Mar 30, 2012 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