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•••••••• C••••••• L••

Former SEC-registered adviserWaltham, MassachusettsCRD 160936SEC 801-74261IAPD
Latest filing Mar 28, 2017
First filing on the tape Feb 15, 2012 · 8 filings
RAUM
$115M
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
3
$54.2M gross assets
History
8 filings and snapshots on the tape
RAUM$115M as of Mar 28, 2017
Mar 19, 2013$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 19, 20130 then
Employees (5.A)7 as of Mar 28, 2017
Mar 19, 201312 then
Private funds3 as of Mar 28, 2017
Mar 19, 20133 then
RAUM -8.2% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2017; 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
$38.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.2%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
$125M, 3 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$125M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• P•••••••• L•••Private Equity Fund$26.0M28Feb 15, 2012
      S•••••••• P••••••• • B• L•••Private Equity Fund$23.1M10Feb 15, 2012
      S•••••••• P••••••• A••••••• F•••• L•••Private Equity Fund$1.0M21Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• D•••••• K•••••• · Managing Membercontrol
        since 06/2006 · owns 50% to 75%
      • W••••• R•••••• V•••••• · Managing Membercontrol
        since 06/2006 · owns 50% to 75%
      • W•••••••• M•••• M••••• · Chief Compliance Officer; Chief Financial Officercontrol
        since 06/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S•••••••• P••••••• G•• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 5
        Mar 30, 2016 to Mar 28, 2017
      • Assets in custody · $228M to $125M
        Mar 30, 2016 to Mar 28, 2017
      • Employees · 8 to 7
        Mar 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $125M to $115M
        Mar 30, 2016 to Mar 28, 2017
      • RAUM · $125M to $115M
        Mar 30, 2016 to Mar 28, 2017
      • Advisory employees · 7 to 6
        Jun 22, 2015 to Mar 30, 2016
      • Assets in custody · $228M to $125M
        Jun 22, 2015 to Mar 30, 2016
      • Employees · 9 to 8
        Jun 22, 2015 to Mar 30, 2016
      • Discretionary RAUM · $250M to $125M
        Jun 22, 2015 to Mar 30, 2016
      • RAUM · $250M to $125M
        Jun 22, 2015 to Mar 30, 2016
      • Assets in custody · $125M to $228M
        Mar 30, 2016 to Mar 30, 2016
      • Advisory employees · 8 to 7
        Mar 27, 2015 to Jun 22, 2015
      • Employees · 10 to 9
        Mar 27, 2015 to Jun 22, 2015
      • Advisory employees · 9 to 8
        Mar 18, 2014 to Mar 27, 2015
      • Employees · 11 to 10
        Mar 18, 2014 to Mar 27, 2015
      • Discretionary RAUM · $226M to $250M
        Mar 18, 2014 to Mar 27, 2015
      • RAUM · $226M to $250M
        Mar 18, 2014 to Mar 27, 2015
      • Advisory employees · 10 to 9
        Mar 19, 2013 to Mar 18, 2014
      • Employees · 12 to 11
        Mar 19, 2013 to Mar 18, 2014
      • Discretionary RAUM · $185M to $226M
        Mar 19, 2013 to Mar 18, 2014
      • RAUM · $185M to $226M
        Mar 19, 2013 to Mar 18, 2014
      • Advisory employees · unset to 10.0
        Feb 15, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Feb 15, 2012 to Mar 19, 2013
      • Employees · unset to 12.0
        Feb 15, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Mar 19, 2013
      • Discretionary RAUM · $228M to $185M
        Feb 15, 2012 to Mar 19, 2013
      • RAUM · $228M to $185M
        Feb 15, 2012 to Mar 19, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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