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

W•• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 161196SEC 801-73581IAPD
Latest filing Mar 19, 2015
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$136M
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
$136M gross assets
History
9 filings and snapshots on the tape
RAUM$136M as of Mar 19, 2015
Apr 1, 2013$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2015
Apr 1, 20130 then
Employees (5.A)5 as of Mar 19, 2015
Apr 1, 20135 then
Private funds1 as of Mar 19, 2015
Apr 1, 20131 then
RAUM -43% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
$136MderivedRAUM 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
-43%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
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
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• R••• E••••• C•• 2•••••• L•••Securitized Asset Fund$136M1Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M••••••• L•• · Ceocontrol
        since 12/2006 · owns less than 5%
      • C•••••• J•••• J•••• · Vice Presidentcontrol
        since 06/2011 · owns less than 5%
      • T••••••• C••••••• B••• · Chief Compliance Officercontrol
        since 03/2013 · owns less than 5%
      Entity owners
      • C•• C•• L•• · Sole Member
        direct · owns 75% or more
      • I••••• A••••••• ••• I•• S••• L•• · Member
        indirect · owns 50% to 75% of C•• C•• L••
      • I••••• A••••••• R••• E••••• T••••• I••• · Member
        indirect · owns 75% or more of I••••• A••••••• ••• I•• S••• L•• · public reporting company
      • W••••••• R••••• T•••• · Member
        indirect · owns 75% or more of W•• R••••• L• · public reporting company
      • W•• C•• I• L•• · Member
        indirect · owns 25% to 50% of C•• C•• L••
      • W•• R••••• L• · Member
        indirect · owns 75% or more of W•• C•• I• L••
      Related persons
      Schedule D 7.A
      Advisers that list W•• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $236M to $136M
        Mar 27, 2014 to Mar 19, 2015
      • RAUM · $236M to $136M
        Mar 27, 2014 to Mar 19, 2015
      • Discretionary RAUM · $264M to $236M
        Dec 9, 2013 to Mar 27, 2014
      • RAUM · $264M to $236M
        Dec 9, 2013 to Mar 27, 2014
      • Discretionary RAUM · $276M to $264M
        Aug 14, 2013 to Dec 9, 2013
      • RAUM · $276M to $264M
        Aug 14, 2013 to Dec 9, 2013
      • Discretionary RAUM · $311M to $276M
        Apr 1, 2013 to Aug 14, 2013
      • RAUM · $311M to $276M
        Apr 1, 2013 to Aug 14, 2013
      • Discretionary RAUM · $391M to $311M
        Jan 22, 2013 to Apr 1, 2013
      • RAUM · $391M to $311M
        Jan 22, 2013 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Jan 17, 2013
      • BD registered reps · unset to 0.0
        Mar 29, 2012 to Jan 17, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Jan 17, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Jan 17, 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