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

F•••• E•••• P•••••• C•••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 160114SEC 801-73634IAPD
Latest filing Nov 5, 2020
First filing on the tape Feb 14, 2012 · 24 filings
RAUM
$4.5B
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
25
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
13
$4.5B gross assets
History
24 filings and snapshots on the tape
RAUM$4.5B as of Mar 30, 2020
Apr 1, 2013$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 1, 20130 then
Employees (5.A)25 as of Mar 30, 2020
Apr 1, 2013104 then
Private funds13 as of Mar 30, 2020
Apr 1, 20136 then
RAUM -2.2% over the last fiscal year+7.9% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Nov 5, 2020; 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
$350MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-2.2%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 vehiclesreportedItem 5.G
Custody
$327M, 1 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$327M for 1 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••• C••••• O••••••••• F•••••• I• L••no longer reportedSecuritized Asset Fund$491M2Feb 14, 2012
      N•••••• C••••••••• L••• F•••••• 2••••• L••no longer reportedSecuritized Asset Fund$385M1Mar 31, 2014
      N•••••• C••••••••• L••• T•••• 2•••••no longer reportedSecuritized Asset Fund$377M1Feb 14, 2012
      N•••••• C••••••••• L••• F•••••• 2••••• L••no longer reportedSecuritized Asset Fund$348M1Mar 31, 2015
      N•••••• C••••••••• L••• F•••••• 2••••• L••no longer reportedSecuritized Asset Fund$326M1Apr 1, 2013
      N•••••• C••••••••• L••• T•••• 2•••••no longer reportedSecuritized Asset Fund$199M1Feb 14, 2012
      N•••••• T•••• 2•••••no longer reportedSecuritized Asset Fund$189M1Feb 14, 2012
      L••• S••••• C••• L••no longer reportedSecuritized Asset Fund$63.1M2Mar 29, 2016
      N•••••• C••••• O••••••••• F•••• L••Other Private Fund$5.6M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••• M•••••• · Chief Administrative Officercontrol
        since 07/2019 · owns less than 5%
      • F••••••• J••••• R•• · Chief Investment Officercontrol
        since 02/2020 · owns less than 5%
      • F••••• C••••••••• J••• · Presidentcontrol
        since 02/2020 · owns less than 5%
      • F••••• B••••• F•••••• · Chief Compliance Officercontrol
        since 05/2017 · owns less than 5%
      • M•••••• M••••• A••• · Chief Executive Officercontrol
        since 12/2017 · owns less than 5%
      • M••••••••• B•••• · Head Of Financecontrol
        since 01/2020 · owns less than 5%
      • O••••••• D•••• · Head Of Legal And Compliance, Chief Legal Officercontrol
        since 12/2017 · owns less than 5%
      • O••••• T•••••••• W•••••• · Chief Financial Officer, Chief Operating Officercontrol
        since 02/2020 · owns less than 5%
      • R••••••••• S•••••• · General Counselcontrol
        since 02/2020 · owns less than 5%
      • D•••••• E•••• M••••• · Limited Partnercontrol
        since 03/2012 · owns 25% to 50% of C•••••• C••••••• L•••
      • D•••••• E•••• M••••• · Shareholdercontrol
        since 03/2012 · owns 25% to 50% of C•••••• C•••••• G••••• L•••
      • J••••••• D•••••• T••• I•••••• · Shareholdercontrol
        since 12/2010 · owns 50% to 75% of C•••••• C•••••• G••••• L•••
      • J••••••• D•••••• T••• I•••••• · Sole Membercontrol
        since 01/2018 · owns 75% or more of V••• I•••••••• L••
      Entity owners
      • F•••• E•••• I••••••••• M••••••••• L•• · Sole And Managing Member
        direct · owns 75% or more
      • B•• C• H••••••• G• L••••• · General Partner
        indirect · owns F of B•• C• H••••••• L•••
      • B•• C• H••••••• L••• · Shareholder
        indirect · owns 50% to 75% of F•••• E•••• H•••••••• I•••
      • B••••••••• C•••••• P••••••• V• L••• · Limited Partner
        indirect · owns 25% to 50% of B•• C• H••••••• L•••
      • B••••••••• C•••••• P••••••• V• L••• · Member
        indirect · owns 50% to 75% of B•• C• H••••••• G• L•••••
      • B••••••••• H••••••• I•• G• L••• · General Partner
        indirect · owns F of B••••••••• H••••••• I•• L•••
      • B••••••••• H••••••• I•• G• M••••••••• L•• · General Partner
        indirect · owns F of B••••••••• H••••••• I•• G• L•••
      • B••••••••• H••••••• I•• L••• · Managing Member
        indirect · owns 50% to 75% of B•• V• L••
      • B••••••••• M••••••••• A••••••••• V• L•• · General Partner
        indirect · owns F of B••••••••• C•••••• P••••••• V• L•••
      • B•• V• L•• · Sole Member
        indirect · owns 75% or more of B••••••••• M••••••••• A••••••••• V• L••
      • C•••••• C•••••• G••••• L••• · General Partner
        indirect · owns F of C•••••• C••••••• L•••
      • C•••••• C•••••• L•• · General Partner
        indirect · owns F of C•••••• M••••• M••••••••• L•••
      • C•••••• C•••••• L•• · General Partner
        indirect · owns F of C•••••• I• M••••••••• L•••
      • C•••••• C•••••• P••••••• G••••• L••• · General Partner
        indirect · owns F of C•••••• C•••••• P•••••••• L•••
      • C•••••• C•••••• P•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• M••••• M••••••••• L•••
      • C•••••• C•••••• P•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• I• M••••••••• L•••
      • C•••••• C••••••• L••• · Sole Member
        indirect · owns 75% or more of C•••••• C•••••• L••
      • C•••••• I• F•••••••• S••••••• C•••••• P••••••• L••• · Member
        indirect · owns 50% to 75% of B•• C• H••••••• G• L•••••
      • C•••••• I• M••••••••• L••• · General Partner
        indirect · owns F of C•••••• I• F•••••••• S••••••• C•••••• P••••••• L•••
      • C•••••• M••••• I•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• M••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list F•••• E•••• P•••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY5 employees
      • Norwalk, CT4 employees
      • Chicago, IL1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 15 to 13
        Feb 28, 2020 to Mar 30, 2020
      • Advisory employees · 22 to 15
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 15 to 13
        Feb 28, 2020 to Mar 30, 2020
      • Assets in custody · $274M to $327M
        Feb 28, 2020 to Mar 30, 2020
      • Employees · 62 to 25
        Feb 28, 2020 to Mar 30, 2020
      • Other offices · 2 to 3
        Feb 28, 2020 to Mar 30, 2020
      • Private funds · 14 to 13
        Feb 28, 2020 to Mar 30, 2020
      • Discretionary RAUM · $4.6B to $4.5B
        Feb 28, 2020 to Mar 30, 2020
      • Non-discretionary RAUM · $6.2M to $0
        Feb 28, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $4.6B to $4.5B
        Feb 28, 2020 to Mar 30, 2020
      • RAUM · $4.6B to $4.5B
        Feb 28, 2020 to Mar 30, 2020
      • Accounts · 16 to 15
        Dec 26, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 22
        Dec 26, 2018 to Mar 29, 2019
      • Business name · N•••••• F••••••••• L•• to F•••• E•••• P•••••• C•••••• L••
        Dec 26, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 14 to 15
        Dec 26, 2018 to Mar 29, 2019
      • Assets in custody · $9.9M to $274M
        Dec 26, 2018 to Mar 29, 2019
      • Employees · 69 to 62
        Dec 26, 2018 to Mar 29, 2019
      • Legal name · N•••••• F••••••••• L•• to F•••• E•••• P•••••• C•••••• L••
        Dec 26, 2018 to Mar 29, 2019
      • Other offices · 1 to 2
        Dec 26, 2018 to Mar 29, 2019
      • Discretionary RAUM · $4.8B to $4.6B
        Dec 26, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $4.1M to $6.2M
        Dec 26, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $4.8B to $4.6B
        Dec 26, 2018 to Mar 29, 2019
      • RAUM · $4.8B to $4.6B
        Dec 26, 2018 to Mar 29, 2019
      • Related bank · false to true
        Dec 26, 2018 to Mar 29, 2019
      • Organization form · Corporation to Limited Liability Company
        Mar 30, 2018 to Oct 25, 2018
      • Succession · false to true
        Mar 30, 2018 to Oct 25, 2018
      • Business name · N•••••• F••••••••• I•• to N•••••• F••••••••• L••
        Oct 25, 2018 to Oct 25, 2018
      • Legal name · N•••••• F••••••••• I•• to N•••••• F••••••••• L••
        Oct 25, 2018 to Oct 25, 2018
      • Succession · true to false
        Oct 25, 2018 to Oct 25, 2018
      • Accounts · 13 to 16
        Jan 22, 2018 to Mar 30, 2018
      • Advisory employees · 6 to 12
        Jan 22, 2018 to Mar 30, 2018
      • HNW clients · 0.0 to unset
        Jan 22, 2018 to Mar 30, 2018
      • Pooled vehicle clients · 12 to 14
        Jan 22, 2018 to Mar 30, 2018
      • Assets in custody · unset to 9945000.0
        Jan 22, 2018 to Mar 30, 2018
      • Custody of client assets · false to true
        Jan 22, 2018 to Mar 30, 2018
      • Private funds · 6 to 14
        Jan 22, 2018 to Mar 30, 2018
      • Discretionary RAUM · $3.0B to $4.8B
        Jan 22, 2018 to Mar 30, 2018
      • Non-discretionary RAUM · $2.0B to $4.1M
        Jan 22, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 4808703924.0
        Jan 22, 2018 to Mar 30, 2018
      • RAUM · $4.9B to $4.8B
        Jan 22, 2018 to Mar 30, 2018
      Signals
      18 dated events
      • Francis Patrick Mcauliffe (Managing Director) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2020-01-28, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • John Timothy Conway (Managing Director) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2020-01-28, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • J••••• M•••••• E••••••••• (Managing Director) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2020-01-28, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • Douglas Daniel Mccready (Chief Investment Officer) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2020-01-28, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • Ray James Fellows (Chief Investment Officer) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Feb 28, 2020 · Control person joined · fact
      • John Christopher Flynn (President) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Feb 28, 2020 · Control person joined · fact
      • William Terrence Olson (Chief Financial Officer, Chief Operating Officer) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Feb 28, 2020 · Control person joined · fact
      • Sabrina Rusnak-Carlson (General Counsel) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Feb 28, 2020 · Control person joined · fact
      • Robert J••••• Sileo (Head - Capital Markets) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2020-01-28, absent 2020-02-28)
        Feb 28, 2020 · Control person left · inference
      • Melanie Dow (Chief Administrative Officer) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Jan 28, 2020 · Control person joined · fact
      • Brian Margulies (Chief Financial Officer) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Jan 28, 2020 · Control person joined · fact
      • Lynn Katherine Perkins (Chief Financial Officer And Treasurer) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2019-05-08, absent 2020-01-28)
        Jan 28, 2020 · Control person left · inference
      • Robert J••••• Sileo (Head - Capital Markets) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Kirby John Bray (Managing Director) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2018-12-26, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Mervyn Evan Davies (Limited Partner) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Teja Ignacio Dharma Jayanti (Sole Member) appeared on Schedule A of F•••• E•••• P•••••• C•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Russell Mark Dufour (Head - Capital Markets) no longer on Schedule A of F•••• E•••• P•••••• C•••••• L•• (listed 2018-12-26, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • N•••••• F••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 25, 2018 · Succession (Item 4) · fact
      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