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•
Legal name F••••• • C•• I•••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$200M
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
11
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$200M as of Mar 30, 2026
Mar 18, 2013$228M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 18, 20130 then
Employees (5.A)11 as of Mar 30, 2026
Mar 18, 201310 then
Private funds8 as of Mar 30, 2026
Mar 18, 20132 then
RAUM -0.8% over the last fiscal year-6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $25.0MderivedRAUM 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
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $200M, 8 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
- Pooled investment vehicles$200M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 8 clientsreported
- Compensation
- fixed, 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••• I•••••••• I•• L••• | Private Equity Fund | $167M | 30 | Feb 14, 2012 |
| S••••• G•• H•••••••• I••• | Private Equity Fund | $34.8M | 5 | Mar 18, 2019 |
| P•••••••• F••••••••• H••••••• L•• | Private Equity Fund | $30.1M | 25 | Mar 22, 2021 |
| F••••••• H•••••••• L•• | Private Equity Fund | $13.0M | 19 | Feb 7, 2024 |
| S••••• G••• L•• | Private Equity Fund | $12.9M | 11 | Mar 26, 2020 |
| P••••••• H••••••• L•• | Private Equity Fund | $11.2M | 5 | Mar 18, 2019 |
| W••••••••• G••••• L• | Private Equity Fund | $9.9M | 4 | Mar 26, 2020 |
| F••••• I••••••••• L••• | Private Equity Fund | $732,000 | 23 | Feb 14, 2012 |
| C••••••••• H••••••• L•• | Private Equity Fund | $0 | 21 | Mar 18, 2019 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• A•••••• B•••••• · Chief Compliance Officer And Vice Presidentcontrolsince 05/2017 · owns less than 5%
- F•••••• J••• · President And Directorcontrolsince 10/1971 · owns 50% to 75%
- F•••••• T••••••• W• · Treasurer And Directorcontrolsince 10/1984 · owns 50% to 75%
Related persons
Schedule D 7.A
- F••••• I•••••••• G•• L••pooled vehicle sponsorn
- F••••• I•••••••• I• G•• L••pooled vehicle sponsorn
- W••••••••• G••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Methuen, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 8Dec 10, 2025 to Mar 30, 2026
- Pooled vehicle clients · 9 to 8Dec 10, 2025 to Mar 30, 2026
- Assets in custody · $202M to $200MDec 10, 2025 to Mar 30, 2026
- Private funds · 9 to 8Dec 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $202M to $200MDec 10, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $202M to $200MDec 10, 2025 to Mar 30, 2026
- RAUM · $202M to $200MDec 10, 2025 to Mar 30, 2026
- Assets in custody · $279M to $202MOct 24, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $279M to $202MOct 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $279M to $202MOct 24, 2024 to Mar 28, 2025
- RAUM · $279M to $202MOct 24, 2024 to Mar 28, 2025
- Accounts · 8 to 9Mar 30, 2023 to Feb 7, 2024
- Advisory employees · 13 to 11Mar 30, 2023 to Feb 7, 2024
- Pooled vehicle clients · 8 to 9Mar 30, 2023 to Feb 7, 2024
- Assets in custody · $242M to $279MMar 30, 2023 to Feb 7, 2024
- Employees · 13 to 11Mar 30, 2023 to Feb 7, 2024
- Private funds · 8 to 9Mar 30, 2023 to Feb 7, 2024
- Discretionary RAUM · $242M to $279MMar 30, 2023 to Feb 7, 2024
- Pooled vehicle RAUM · $242M to $279MMar 30, 2023 to Feb 7, 2024
- RAUM · $242M to $279MMar 30, 2023 to Feb 7, 2024
- Advisory employees · 11 to 13Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $247M to $242MMar 30, 2022 to Mar 30, 2023
- Employees · 11 to 13Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $204M to $242MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $204M to $242MMar 30, 2022 to Mar 30, 2023
- RAUM · $204M to $242MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $247M to $204MApr 21, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $247M to $204MApr 21, 2021 to Mar 30, 2022
- RAUM · $247M to $204MApr 21, 2021 to Mar 30, 2022
- Assets in custody · $272M to $247MMar 22, 2021 to Apr 21, 2021
- Discretionary RAUM · $268M to $247MMar 22, 2021 to Apr 21, 2021
- Pooled vehicle RAUM · $268M to $247MMar 22, 2021 to Apr 21, 2021
- RAUM · $268M to $247MMar 22, 2021 to Apr 21, 2021
- Accounts · 7 to 8Mar 26, 2020 to Mar 22, 2021
- Pooled vehicle clients · 7 to 8Mar 26, 2020 to Mar 22, 2021
- Assets in custody · $237M to $272MMar 26, 2020 to Mar 22, 2021
- Private funds · 7 to 8Mar 26, 2020 to Mar 22, 2021
- Discretionary RAUM · $237M to $268MMar 26, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $237M to $268MMar 26, 2020 to Mar 22, 2021
Signals
2 dated events
- Susan Sullivan (Chief Financial Officer) no longer on Schedule A of F••••• • C• (listed 2023-03-30, absent 2024-02-07)Feb 7, 2024 · Control person left · inference
- Bronson Andrew Fulham (Chief Compliance Officer And Vice President) appeared on Schedule A of F••••• • C•Mar 18, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F••••• • C• · Independent Sponsorsshared crd · capital_provider
- F••••• • C• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F•••••CO.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-235-2266reportedpublic record, Form ADV, Mar 30, 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