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

R• C•• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 161222SEC 801-74103IAPD
Latest filing Mar 19, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$113M
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
$113M gross assets
History
8 filings and snapshots on the tape
RAUM$113M as of Mar 19, 2015
Mar 28, 2013$192M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2015
Mar 28, 20130 then
Employees (5.A)5 as of Mar 19, 2015
Mar 28, 20135 then
Private funds1 as of Mar 19, 2015
Mar 28, 20131 then
RAUM -10% 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
$113MderivedRAUM 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
-10%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
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• R••• E••••• C•• I•• L•••no longer reportedSecuritized Asset Fund$895M2Feb 14, 2012
      S•••• R••• E••••• C•• I• L•••Securitized Asset Fund$80.4M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M••••••• L•• · Ceocontrol
        since 06/2011 · 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
      • G••••• H•••• F•••••• L•• · Member
        direct · owns 50% to 75%
      • W•••••• L•• · Member
        direct · owns 50% to 75%
      • G••••• H•••• H•••••• L•• · Member
        indirect · owns 75% or more of G••••• H•••• F•••••• L••
      • W••••••• R••••• T•••• · Member
        indirect · owns 75% or more of W•• R••••• L• · public reporting company
      • W•• R••••• L• · Member
        indirect · owns 75% or more of W•••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list R• C•• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to 0
        Mar 27, 2014 to Mar 19, 2015
      • Discretionary RAUM · $126M to $113M
        Mar 27, 2014 to Mar 19, 2015
      • RAUM · $126M to $113M
        Mar 27, 2014 to Mar 19, 2015
      • Discretionary RAUM · $142M to $126M
        Dec 9, 2013 to Mar 27, 2014
      • RAUM · $142M to $126M
        Dec 9, 2013 to Mar 27, 2014
      • Discretionary RAUM · $168M to $142M
        Aug 14, 2013 to Dec 9, 2013
      • RAUM · $168M to $142M
        Aug 14, 2013 to Dec 9, 2013
      • Discretionary RAUM · $192M to $168M
        Mar 28, 2013 to Aug 14, 2013
      • RAUM · $192M to $168M
        Mar 28, 2013 to Aug 14, 2013
      • Accounts · 2 to 1
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Private funds · 2 to 1
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.2B to $192M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $1.2B to $192M
        Mar 29, 2012 to Mar 28, 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