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
A•••• A•••••••
Legal name A•••• A•••••••• L••
Latest filing May 14, 2013
First filing on the tape Jan 17, 2012 · 7 filings
RAUM
$12.2M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$12.2M gross assets
History
7 filings and snapshots on the tape
RAUM$12.2M as of May 14, 2013
Jan 17, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 14, 2013
Jan 2, 20132 then
Employees (5.A)5 as of May 14, 2013
Jan 2, 20135 then
Private funds1 as of May 14, 2013
Jan 2, 20131 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 14, 2013; every figure names its basis
- RAUM per advisor
- $6.1MderivedRAUM 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
- $12.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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
Also answered yes on Form ADV
- 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
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
- 1reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• O••••••••• F••• I• L••• | Hedge Fund | $12.2M | 3 | Jan 2, 2013 |
Owners and control persons
Schedule A and B, latest filing
- J•••••••• T••••••• R•••••• · President And Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- O•••• T•••••• L••••••• · Directorcontrolsince 04/2013 · owns F of R••••• I•••
- H••••••• S•••••• D•••• · Officersince 05/2012 · owns 25% to 50% of R••••• I•••
- R•••••• M•••• H• · Officersince 05/2012 · owns 25% to 50% of R••••• I•••
Entity owners
- R••••• I••• · Sole Member/Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• A••••••••• I•••broker-dealern
- T•••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · BOSTON to SAN MATEOApr 1, 2013 to May 14, 2013
- HQ state · MA to CAApr 1, 2013 to May 14, 2013
- Advisory employees · 2 to 3Jan 2, 2013 to Apr 1, 2013
- BD registered reps · 3 to 2Jan 2, 2013 to Apr 1, 2013
- Discretionary RAUM · $9.5M to $12.2MJan 2, 2013 to Apr 1, 2013
- RAUM · $9.5M to $12.2MJan 2, 2013 to Apr 1, 2013
- Accounts · 0 to 1May 16, 2012 to Jan 2, 2013
- Advisory employees · unset to 2.0May 16, 2012 to Jan 2, 2013
- Advisory activities · 3 to 5May 16, 2012 to Jan 2, 2013
- BD registered reps · unset to 3.0May 16, 2012 to Jan 2, 2013
- Employees · unset to 5.0May 16, 2012 to Jan 2, 2013
- Insurance-licensed employees · 0 to 2May 16, 2012 to Jan 2, 2013
- State-registered IARs · unset to 2.0May 16, 2012 to Jan 2, 2013
- Private funds · unset to 1May 16, 2012 to Jan 2, 2013
- Discretionary RAUM · $0 to $9.5MMay 16, 2012 to Jan 2, 2013
- RAUM · $0 to $9.5MMay 16, 2012 to Jan 2, 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