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
C••••••• F••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 14, 2022 · 5 filings
SEC status approved since May 17, 2022
RAUM
$356M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$356M as of Mar 26, 2026
Mar 29, 2023$147M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 29, 20233 then
Employees (5.A)4 as of Mar 26, 2026
Mar 29, 20233 then
Private funds1 as of Mar 26, 2026
Mar 29, 20231 then
RAUM +93% over the last fiscal year+34% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM 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
- $71.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +93%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- 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)
- 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$227M64%
- State and municipal entities$130M36%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.36 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• R•••••• S••••••• | Boston, Ma | Jul 23, 2012 | 17 y | 0 |
| C••••••••• L•••• C••••••• | Boston, Ma | Jul 23, 2012 | 17 y | 0 |
| S•••• L••••• U••••••• | Boston, Ma | Oct 15, 2012 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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 |
|---|---|---|---|---|
| C••••••• C•••••• P•••••••• L• | Hedge Fund | $55.7M | 39 | Apr 14, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••••••• L•••• · Managing Membercontrolsince 06/2009 · owns 50% to 75%
- S•••••••• J•••••••• R•••••• · Managing Member, Ccocontrolsince 06/2009 · owns 5% to 10%
- U•••••••• S••••• L••••• · Managing Membercontrolsince 10/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••• C•••••• G• L••bankpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 26, 2026institutional share of RAUM of 36% against a peer median of 0% (1568 comparable advisers, 100.0th percentile, 12.3 robust deviations)peers: asset managers, $100M to $500M (1,568) · 100% percentile
- institutional asset share shiftChange between filings · filing Mar 26, 2026institutional share of RAUM moved from 0.0% to 36.0% between the annual amendments of 2025-03-26 and 2026-03-26peers: asset managers, $100M to $500M (1,568)
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $184,674,691 to $356,064,983 (+93.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was +4.0% (1147 comparable advisers, 96.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 5Mar 26, 2025 to Mar 26, 2026
- Advisory activities · 2 to 3Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $185M to $356MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $185M to $227MMar 26, 2025 to Mar 26, 2026
- RAUM · $185M to $356MMar 26, 2025 to Mar 26, 2026
- Accounts · 4 to 3Jan 16, 2024 to Mar 26, 2025
- Advisory employees · 3 to 4Jan 16, 2024 to Mar 26, 2025
- Advisory activities · 3 to 2Jan 16, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 3Jan 16, 2024 to Mar 26, 2025
- Employees · 3 to 4Jan 16, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jan 16, 2024 to Mar 26, 2025
- Discretionary RAUM · $144M to $185MJan 16, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $49.2M to $0Jan 16, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $144M to $185MJan 16, 2024 to Mar 26, 2025
- RAUM · $193M to $185MJan 16, 2024 to Mar 26, 2025
- Accounts · 3 to 4Mar 29, 2023 to Jan 16, 2024
- Discretionary RAUM · $87.8M to $144MMar 29, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $59.6M to $49.2MMar 29, 2023 to Jan 16, 2024
- Pooled vehicle RAUM · $87.8M to $144MMar 29, 2023 to Jan 16, 2024
- RAUM · $147M to $193MMar 29, 2023 to Jan 16, 2024
- Accounts · 2 to 3Apr 14, 2022 to Mar 29, 2023
- Pooled vehicle clients · 1 to 2Apr 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $46.8M to $87.8MApr 14, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $60.0M to $59.6MApr 14, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $46.8M to $87.8MApr 14, 2022 to Mar 29, 2023
- RAUM · $107M to $147MApr 14, 2022 to Mar 29, 2023
Signals
2 dated events
- C••••••• F••• M••••••••• L•• reported RAUM $356.1M, up 93% from $184.7M (2025-03-26 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- C••••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2022 · First SEC registration · fact
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
- Website
- C•••••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-274-5617reportedpublic record, Form ADV, Mar 26, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026