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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SEC-registered adviser
D••••••••• A•••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 19, 2013 · 19 filings
SEC status approved since Apr 11, 2013
RAUM
$36.9M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$36.9M as of Mar 31, 2026
Mar 31, 2014$99.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20140 then
Employees (5.A)3 as of Mar 31, 2026
Mar 31, 20145 then
Private funds1 as of Mar 31, 2026
Mar 31, 20142 then
RAUM +9.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $12.3MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%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 vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $3.1M, 1 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Investment companies$33.8M92%
- Pooled investment vehicles$3.1M8.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• A•••• T•• S••••• M••••• F••• L•no longer reported | Hedge Fund | $19.3M | 5 | Mar 30, 2016 |
| D••••••••• A•••• T•• S••••• O•••••• F••• L• | Hedge Fund | $16.8M | 5 | Mar 31, 2021 |
| D••••••••• A•••• U••• L••• S•••• U•••• F••• | Other Private Fund | $3.6M | 2 | Mar 31, 2021 |
| D••••••••• A•••• O•••••• F••• L• | Hedge Fund | $3.5M | 4 | Mar 30, 2016 |
| D••••••••• A•••• M••••• F•••• L••• | Hedge Fund | $3.2M | 1 | Aug 9, 2013 |
| D••••••••• A•••• O••••••• F•••• L••• | Hedge Fund | $1.9M | 1 | Aug 9, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S•••• K••••• W•••••• · Managing Member/Chief Compliance Officercontrolsince 03/2013 · owns 75% or more
Related persons
Schedule D 7.A
- D••••••••• A•••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Marblehead, MA1 employees
What changed
consecutive filings, newest first
- Assets in custody · $3.2M to $3.1MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $33.6M to $36.9MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.1M to $3.1MMar 28, 2025 to Mar 31, 2026
- RAUM · $33.6M to $36.9MMar 28, 2025 to Mar 31, 2026
- Accounts · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $3.2M to $3.2MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 3 to 1Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $28.7M to $33.6MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $6.8M to $3.1MMar 28, 2024 to Mar 28, 2025
- RAUM · $28.7M to $33.6MMar 28, 2024 to Mar 28, 2025
- Accounts · 5 to 4Sep 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 2Sep 28, 2023 to Mar 28, 2024
- Assets in custody · unset to 3182004.0Sep 28, 2023 to Mar 28, 2024
- Custody of client assets · false to trueSep 28, 2023 to Mar 28, 2024
- Private funds · 4 to 3Sep 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $29.3M to $28.7MSep 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $29.3M to $6.8MSep 28, 2023 to Mar 28, 2024
- RAUM · $29.3M to $28.7MSep 28, 2023 to Mar 28, 2024
- Accounts · 4 to 5Jul 27, 2023 to Sep 28, 2023
- Advisory activities · 2 to 3Jul 27, 2023 to Sep 28, 2023
- Accounts · 5 to 4Mar 31, 2023 to Jun 26, 2023
- Pooled vehicle clients · 4 to 3Mar 31, 2023 to Jun 26, 2023
- Private funds · 5 to 4Mar 31, 2023 to Jun 26, 2023
- Discretionary RAUM · $64.2M to $29.3MMar 31, 2023 to Jun 26, 2023
- Pooled vehicle RAUM · $64.1M to $29.3MMar 31, 2023 to Jun 26, 2023
- RAUM · $64.2M to $29.3MMar 31, 2023 to Jun 26, 2023
- Accounts · 6 to 5Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 4Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $139M to $64.2MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $139M to $64.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $139M to $64.2MMar 31, 2022 to Mar 31, 2023
- Accounts · 8 to 6Mar 31, 2021 to Mar 31, 2022
- Other offices · 0 to 1Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $96.3M to $139MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $96.3M to $139MMar 31, 2021 to Mar 31, 2022
- RAUM · $96.3M to $139MMar 31, 2021 to Mar 31, 2022
- Accounts · 6 to 8Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Private funds · 4 to 5Mar 30, 2020 to Mar 31, 2021
Signals
1 dated events
- D••••••••• A•••• L•• filed its initial SEC registration (Form ADV)Mar 19, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- D•••••••••A••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 857-350-3958reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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