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••••••• S••••••••• A•••••••• L••

Former SEC-registered adviserBraintree, MassachusettsCRD 163577SEC 801-76594IAPD
Latest filing Sep 30, 2019
First filing on the tape Apr 18, 2012 · 12 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2019
Mar 26, 2013$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2019
Mar 26, 20132 then
Employees (5.A)10 as of Mar 31, 2019
Mar 26, 20136 then
Private funds: no history
RAUM -0.5% over the last fiscal year+9.6% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Sep 30, 2019; 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
$64.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-0.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
29reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••••• D•••••• P••• · Managing Membercontrol
    since 01/2012 · owns less than 5%
  • H••••••••• D•••••• P••• · Managing Membercontrol
    since 01/2011 · owns 25% to 50% of W••••••• S••••••••• L••
  • S•••••• S••••• J••• · Managing Membercontrol
    since 01/2011 · owns 25% to 50% of W••••••• S••••••••• L••
  • B•••••• K•••• R•••• · Chief Compliance Officer
    since 02/2012 · owns less than 5%
Entity owners
  • W••••••• S••••••••• L•• · Shareholder
    direct · owns 75% or more
  • W••••••• S••••••••• L•• · Shareholder
    indirect · owns F of W••••••• S••••••••• A•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Albany, NY5 employees
What changed
consecutive filings, newest first
  • Advisory employees · 7 to 1
    Mar 31, 2019 to Sep 30, 2019
  • BD registered reps · 7 to 1
    Mar 31, 2019 to Sep 30, 2019
  • Employees · 10 to 1
    Mar 31, 2019 to Sep 30, 2019
  • State-registered IARs · 2 to 0
    Mar 31, 2019 to Sep 30, 2019
  • Related adviser · false to true
    Mar 31, 2019 to Sep 30, 2019
  • Related broker-dealer · false to true
    Mar 31, 2019 to Sep 30, 2019
  • Accounts · 26 to 29
    Mar 31, 2018 to Mar 31, 2019
  • Advisory employees · 5 to 7
    Mar 31, 2018 to Mar 31, 2019
  • BD registered reps · 6 to 7
    Mar 31, 2018 to Mar 31, 2019
  • Corporate clients · 26 to 29
    Mar 31, 2018 to Mar 31, 2019
  • Employees · 6 to 10
    Mar 31, 2018 to Mar 31, 2019
  • Non-discretionary RAUM · $1.9B to $1.9B
    Mar 31, 2018 to Mar 31, 2019
  • RAUM · $1.9B to $1.9B
    Mar 31, 2018 to Mar 31, 2019
  • Accounts · 18 to 26
    Mar 30, 2017 to Mar 31, 2018
  • Corporate clients · unset to 26.0
    Mar 30, 2017 to Mar 31, 2018
  • Other offices · unset to 1.0
    Mar 30, 2017 to Mar 31, 2018
  • Non-discretionary RAUM · $1.5B to $1.9B
    Mar 30, 2017 to Mar 31, 2018
  • RAUM · $1.5B to $1.9B
    Mar 30, 2017 to Mar 31, 2018
  • Accounts · 15 to 18
    Mar 28, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $1.4B to $1.5B
    Mar 28, 2016 to Mar 30, 2017
  • RAUM · $1.4B to $1.5B
    Mar 28, 2016 to Mar 30, 2017
  • Accounts · 13 to 15
    Mar 30, 2015 to Mar 28, 2016
  • Non-discretionary RAUM · $1.5B to $1.4B
    Mar 30, 2015 to Mar 28, 2016
  • RAUM · $1.5B to $1.4B
    Mar 30, 2015 to Mar 28, 2016
  • Accounts · 10 to 13
    Mar 31, 2014 to Mar 30, 2015
  • Discretionary RAUM · $373M to $0
    Mar 31, 2014 to Mar 30, 2015
  • Non-discretionary RAUM · $0 to $1.5B
    Mar 31, 2014 to Mar 30, 2015
  • RAUM · $373M to $1.5B
    Mar 31, 2014 to Mar 30, 2015
  • Accounts · 6 to 10
    Mar 26, 2013 to Mar 31, 2014
  • Advisory activities · 3 to 2
    Mar 26, 2013 to Mar 31, 2014
  • Discretionary RAUM · $214M to $373M
    Mar 26, 2013 to Mar 31, 2014
  • RAUM · $214M to $373M
    Mar 26, 2013 to Mar 31, 2014
  • Accounts · 5 to 6
    Sep 7, 2012 to Mar 26, 2013
  • Advisory employees · unset to 5.0
    Sep 7, 2012 to Mar 26, 2013
  • BD registered reps · unset to 6.0
    Sep 7, 2012 to Mar 26, 2013
  • Employees · unset to 6.0
    Sep 7, 2012 to Mar 26, 2013
  • State-registered IARs · unset to 2.0
    Sep 7, 2012 to Mar 26, 2013
  • Discretionary RAUM · $194M to $214M
    Sep 7, 2012 to Mar 26, 2013
  • RAUM · $194M to $214M
    Sep 7, 2012 to Mar 26, 2013
  • Accounts · unset to 5.0
    Jul 16, 2012 to Sep 7, 2012
Signals
1 dated events
  • W••••••• S••••••••• A•••••••• L•• reported RAUM $1.9B, up 27% from $1.5B (2017-03-30 to 2018-03-31)
    Mar 31, 2018 · RAUM change · derived
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