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

C•• P•••••••• F•••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 169227SEC 801-78840IAPD
Latest filing Oct 2, 2019
First filing on the tape Nov 15, 2013 · 10 filings
RAUM
$15.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$15.1M as of Mar 6, 2019
Jan 16, 2014$5.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2019
Jan 16, 20140 then
Employees (5.A)2 as of Mar 6, 2019
Jan 16, 20142 then
Private funds: no history
RAUM -38% over the last fiscal year-9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 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
$15.1MderivedRAUM 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
-38%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$15.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• W••••••• F•• · Managing Member/Chief Compliance Officercontrol
        since 09/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 6, 2019 to Oct 2, 2019
      • BD registered reps · 2 to 1
        Mar 6, 2019 to Oct 2, 2019
      • Employees · 2 to 1
        Mar 6, 2019 to Oct 2, 2019
      • Discretionary RAUM · $24.3M to $15.1M
        Jan 30, 2018 to Mar 6, 2019
      • RAUM · $24.3M to $15.1M
        Jan 30, 2018 to Mar 6, 2019
      • Charity clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Corporate clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • HNW clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Individual clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Pension plan clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Other offices · unset to 0.0
        Feb 23, 2017 to Jan 30, 2018
      • Discretionary RAUM · $19.6M to $24.3M
        Feb 23, 2017 to Jan 30, 2018
      • RAUM · $19.6M to $24.3M
        Feb 23, 2017 to Jan 30, 2018
      • Discretionary RAUM · $20.6M to $19.6M
        Feb 1, 2016 to Feb 23, 2017
      • RAUM · $20.6M to $19.6M
        Feb 1, 2016 to Feb 23, 2017
      • Discretionary RAUM · $20.0M to $20.6M
        Feb 20, 2015 to Feb 1, 2016
      • RAUM · $20.0M to $20.6M
        Feb 20, 2015 to Feb 1, 2016
      • HQ city · unset to BOSTON
        Feb 19, 2015 to Feb 20, 2015
      • HQ state · unset to MA
        Feb 19, 2015 to Feb 20, 2015
      • BD registered reps · 1 to 2
        Apr 8, 2014 to Feb 19, 2015
      • Discretionary RAUM · $5.5M to $20.0M
        Apr 8, 2014 to Feb 19, 2015
      • RAUM · $5.5M to $20.0M
        Apr 8, 2014 to Feb 19, 2015
      • Accounts · unset to 1.0
        Nov 15, 2013 to Jan 16, 2014
      • Discretionary RAUM · unset to 5500000.0
        Nov 15, 2013 to Jan 16, 2014
      • Non-discretionary RAUM · unset to 0.0
        Nov 15, 2013 to Jan 16, 2014
      • RAUM · unset to 5500000.0
        Nov 15, 2013 to Jan 16, 2014
      Signals
      2 dated events
      • Kurt Peter Higgins (Managing Member/Chief Compliance Officer) no longer on Schedule A of C•• P•••••••• F•••• L•• (listed 2019-03-06, absent 2019-10-02)
        Oct 2, 2019 · Control person left · inference
      • C•• P•••••••• F•••• L•• filed its initial SEC registration (Form ADV)
        Nov 15, 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.
      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