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

A••• C••••••••• I•••

Former SEC-registered adviserWaltham, MassachusettsCRD 162041SEC 801-75367IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$160M
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$160M gross assets
History
7 filings and snapshots on the tape
RAUM$160M as of Mar 30, 2015
Apr 1, 2013$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Apr 1, 20130 then
Employees (5.A)8 as of Mar 30, 2015
Apr 1, 20138 then
Private funds3 as of Mar 30, 2015
Apr 1, 20137 then
RAUM -17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$53.4MderivedRAUM 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
-17%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
$160M, 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 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
0reported
Wrap fee programs
noreported
Custody of client assets
$160M 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••• C••••••••• V•••• L•••Private Equity Fund$17.9M60Mar 29, 2012
      A••• C••••••••• I•• L•••Private Equity Fund$3.7M37Mar 29, 2012
      A••• C••••••••• V••• B• L•••Private Equity Fund$1.0M3Mar 29, 2012
      A••• C••••••••• I• B• L•••Private Equity Fund$656,6153Mar 29, 2012
      A••• C••• V••• S• B• S• L••Private Equity Fund$274,65730Mar 29, 2012
      A••• V••• A••••••••• L••Private Equity Fund$14,3159Mar 29, 2012
      A••• I• A••••••••• L••Private Equity Fund$5,77222Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• T••••••• L• · Secretary, M••••••• General Partnercontrol
        since 05/1996 · owns 50% to 75%
      • M••••••• B••••• W• · President, M••••••• General Partnercontrol
        since 05/1996 · owns 50% to 75%
      • T•••• E•••••• M• · Cco, Cfo, General Partner
        since 05/1996 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•• C• I••••••••• L••
        pooled vehicle sponsorn
      • A•• R•••• I••••••••• L••
        pooled vehicle sponsorn
      • A•• R•• I••••••••• L••
        pooled vehicle sponsorn
      • A•• S•• I••••••••• L••
        pooled vehicle sponsorn
      • A•• T••••• I••••••••• L••
        pooled vehicle sponsorn
      • A••• B•• T•• L••
        pooled vehicle sponsorn
      • A••• C••••••••• I••• M••••••• M•••••
        pooled vehicle sponsorn
      • A••• C••••••••• I• M•••••••• L•••
        pooled vehicle sponsorn
      • A••• C••••••••• V••• M•••••••• L••
        pooled vehicle sponsorn
      • A••• Equity Partners, LLC
        investment advisern
      • A••• S•• T•• L••
        pooled vehicle sponsorn
      • A••• V• M••••••••• P•••••••• L•••
        pooled vehicle sponsorn
      • B•••• E•••• D•••••• • C••• I•••
        investment advisern
      • E••••• M• T•••
        pooled vehicle sponsorn
      • M••••• E••••• P••••••• M••••••••• L••
        investment advisern
      • M•• G••• L•••
        pooled vehicle sponsorn
      • T•••••• L• D•••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 3
        Dec 5, 2014 to Mar 30, 2015
      • Assets in custody · $193M to $160M
        Dec 5, 2014 to Mar 30, 2015
      • Private funds · 7 to 3
        Dec 5, 2014 to Mar 30, 2015
      • Discretionary RAUM · $193M to $160M
        Dec 5, 2014 to Mar 30, 2015
      • RAUM · $193M to $160M
        Dec 5, 2014 to Mar 30, 2015
      • Assets in custody · $273M to $193M
        May 15, 2013 to Mar 31, 2014
      • Discretionary RAUM · $273M to $193M
        May 15, 2013 to Mar 31, 2014
      • RAUM · $273M to $193M
        May 15, 2013 to Mar 31, 2014
      • HQ city · BOSTON to WALTHAM
        Apr 30, 2013 to May 15, 2013
      • Advisory employees · unset to 5.0
        Mar 29, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 29, 2012 to Apr 1, 2013
      • Assets in custody · $329M to $273M
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 8.0
        Mar 29, 2012 to Apr 1, 2013
      • Financial planning clients · 1-10 to 0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $329M to $273M
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $329M to $273M
        Mar 29, 2012 to Apr 1, 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