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
S••••••••• M••••••••• C••• L•••••
Latest filing Mar 17, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$120M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$120M gross assets
History
8 filings and snapshots on the tape
RAUM$120M as of Mar 17, 2015
Mar 28, 2013$285M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2015
Mar 28, 20130 then
Employees (5.A)7 as of Mar 17, 2015
Mar 28, 201312 then
Private funds1 as of Mar 17, 2015
Mar 28, 20131 then
RAUM -44% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2015; 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
- $120MderivedRAUM 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
- -44%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $120M, 1 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 1 clientsreported
- Compensation
- 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 |
|---|---|---|---|---|
| L••••••••• C•••••• P••••••• V•• L••• | Other Private Fund | $18.6M | 60 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• C••••••• · Managing Directorcontrolsince 05/2007 · owns 10% to 25%
- G••••••• J••••••• A•••• · Managing Directorcontrolsince 05/2007 · owns 10% to 25%
- H••••• C•••••••• E••••• · Chief Compliance Officercontrolsince 06/2014 · owns 10% to 25%
- T•••••• R•••• M••••••• · Managing Directorcontrolsince 05/2007 · owns 10% to 25%
- Y•••• G••••• E••••• · Managing Directorcontrolsince 07/2007 · owns 10% to 25%
Related persons
Schedule D 7.A
- L••••••••• M••••••••• P••••••• V•• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Waltham, MA
What changed
consecutive filings, newest first
- Advisory employees · 7 to 5Jul 1, 2014 to Mar 17, 2015
- Assets in custody · $214M to $120MJul 1, 2014 to Mar 17, 2015
- Employees · 12 to 7Jul 1, 2014 to Mar 17, 2015
- Discretionary RAUM · $214M to $120MJul 1, 2014 to Mar 17, 2015
- RAUM · $214M to $120MJul 1, 2014 to Mar 17, 2015
- Advisory employees · 8 to 7Mar 28, 2013 to Mar 31, 2014
- Assets in custody · $285M to $214MMar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $285M to $214MMar 28, 2013 to Mar 31, 2014
- RAUM · $285M to $214MMar 28, 2013 to Mar 31, 2014
- Assets in custody · $262M to $285MNov 16, 2012 to Mar 28, 2013
- Employees · 14 to 12Nov 16, 2012 to Mar 28, 2013
- Discretionary RAUM · $305M to $285MNov 16, 2012 to Mar 28, 2013
- RAUM · $305M to $285MNov 16, 2012 to Mar 28, 2013
- Advisory employees · unset to 8.0Apr 12, 2012 to Nov 16, 2012
- BD registered reps · unset to 0.0Apr 12, 2012 to Nov 16, 2012
- Employees · unset to 14.0Apr 12, 2012 to Nov 16, 2012
- State-registered IARs · unset to 0.0Apr 12, 2012 to Nov 16, 2012
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