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Former SEC-registered adviser

F••••• C•••••• P•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 157355SEC 801-73270IAPD
Latest filing Sep 20, 2012
First filing on the tape Feb 10, 2012 · 2 filings
RAUM
$590M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$590M gross assets
History
2 filings and snapshots on the tape
RAUM$590M as of Sep 20, 2012
Feb 10, 2012$590M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds4 as of Sep 20, 2012
Feb 10, 20124 then
Practice profile
derived from the filing of Sep 20, 2012; 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
$148MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
otherreportedItem 5.G
Custody
$516M, 3 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$516M for 3 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• I••••••••• L••Real Estate Fund$350M4Feb 10, 2012
      P•••••• I••••••••• L••Real Estate Fund$154M5Feb 10, 2012
      F••••• I••••••••• L•Real Estate Fund$74.3M14Feb 10, 2012
      G••••• P••• L••Real Estate Fund$12.4M5Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• M••••••• W•••••• · Co-President And Membercontrol
        since 06/2000 · owns 25% to 50%
      • J••••• S••••• R•••••• · Co-President And Membercontrol
        since 06/2000 · owns 25% to 50%
      • L••••••••• J••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 03/2005 · owns less than 5%
      • C•••••• T•••••• J••• · Shareholdercontrol
        since 04/1994 · owns 50% to 75% of W••••• F••••• M••••••••• I•••
      Entity owners
      • W••••• F••••• M••••••••• I••• · Member
        indirect · owns 75% or more of T•••••• H••••••• L••
      • T•••••• H••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • F•• B•••••••• L••
        investment companyy
      • F••••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Portland, OR
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      Across the graphs

      F••••• C•••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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