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••••• W••••• M••••••••• L••

Former SEC-registered adviserWaltham, MassachusettsCRD 170099SEC 801-79004IAPD
Latest filing Sep 2, 2020
First filing on the tape Dec 20, 2013 · 17 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$2.8M gross assets
History
17 filings and snapshots on the tape
RAUM$1.8B as of Mar 18, 2020
Mar 10, 2015$1.5B then
HNW client RAUM$1.7B as of Mar 18, 2020
Mar 27, 2018$1.5B then
State-registered IARs (5.B.3)16 as of Mar 18, 2020
Mar 10, 201512 then
Employees (5.A)26 as of Mar 18, 2020
Mar 10, 201526 then
Private funds1 as of Mar 18, 2020
Mar 10, 20152 then
RAUM +15% over the last fiscal year+5.4% a year over threeIARs 15 to 16
Practice profile
derived from the filing of Sep 2, 2020; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$923,664derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
8.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+6.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$108M, 361 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)
  • 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)
  • 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
  • High-net-worth individuals$1.7B94%
  • Individuals$46.9M2.6%
  • Corporations and businesses$43.4M2.4%
  • Charitable organizations$19.9M1.1%
  • Pension and profit-sharing plans$3.8M0.2%
Individual clients
143reported
HNW clients
447reported
Pension plan clients
1reported
Charitable clients
14reported
Accounts
1,943reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$108M for 361 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• P•••••• E••••• I• L••Private Equity Fund$2.8M18Mar 29, 2012
      K••••• P••• C•••••• P•••••••• L•no longer reportedOther Private Fund$2,0004Aug 12, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• W••••••• T••••• · Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • D••••••• D••••• J••••• · Managing Directorcontrol
        since 10/2017 · owns less than 5%
      • D••••••••• D••••• M•••••• · Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • F•••• J•••••• E••••• · Director, Business Developmentcontrol
        since 01/2014 · owns 5% to 10%
      • G••••• B•••• C••• · Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • K•••• R••••••• D••••• · Chief Compliance Officer And Managing Directorcontrol
        since 12/2013 · owns 5% to 10%
      • R••••••••• M••••••• S•••• · Chief Investment Officercontrol
        since 03/2019 · owns less than 5%
      • B••••••• W••••••• T••••• · Managing Directorcontrol
        since 11/2013 · owns 25% to 50% of A••••• W••••• M••••••••• I•••
      • D••••••••• D••••• M•••••• · Managing Directorcontrol
        since 12/1992 · owns 75% or more of A••••• W••••• M••••••••• I•••
      Entity owners
      • A••••• W••••• M••••••••• I••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• W••••• E•••••• L••
        pooled vehicle sponsory
      • D••••••••• • K•••• L••
        n
      Advisers that list A••••• W••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Naples, FL
      What changed
      consecutive filings, newest first
      • Accounts · 1,930 to 1,943
        Mar 21, 2019 to Mar 18, 2020
      • Advisory employees · 15 to 16
        Mar 21, 2019 to Mar 18, 2020
      • Charity clients · 8 to 14
        Mar 21, 2019 to Mar 18, 2020
      • Corporate clients · 9 to 6
        Mar 21, 2019 to Mar 18, 2020
      • HNW clients · 436 to 447
        Mar 21, 2019 to Mar 18, 2020
      • Individual clients · 130 to 143
        Mar 21, 2019 to Mar 18, 2020
      • Assets in custody · $97.9M to $108M
        Mar 21, 2019 to Mar 18, 2020
      • Employees · 27 to 26
        Mar 21, 2019 to Mar 18, 2020
      • State-registered IARs · 15 to 16
        Mar 21, 2019 to Mar 18, 2020
      • Discretionary RAUM · $1.2B to $1.7B
        Mar 21, 2019 to Mar 18, 2020
      • HNW RAUM · $1.5B to $1.7B
        Mar 21, 2019 to Mar 18, 2020
      • Individual RAUM · $36.2M to $46.9M
        Mar 21, 2019 to Mar 18, 2020
      • Non-discretionary RAUM · $397M to $141M
        Mar 21, 2019 to Mar 18, 2020
      • Pension RAUM · $3.1M to $3.8M
        Mar 21, 2019 to Mar 18, 2020
      • Pooled vehicle RAUM · $3.4M to $0
        Mar 21, 2019 to Mar 18, 2020
      • RAUM · $1.6B to $1.8B
        Mar 21, 2019 to Mar 18, 2020
      • Accounts · 1,815 to 1,930
        Dec 18, 2018 to Mar 21, 2019
      • Charity clients · unset to 8.0
        Dec 18, 2018 to Mar 21, 2019
      • Corporate clients · unset to 9.0
        Dec 18, 2018 to Mar 21, 2019
      • HNW clients · 227 to 436
        Dec 18, 2018 to Mar 21, 2019
      • Individual clients · 163 to 130
        Dec 18, 2018 to Mar 21, 2019
      • Pension plan clients · 5 to 1
        Dec 18, 2018 to Mar 21, 2019
      • Pooled vehicle clients · unset to 1.0
        Dec 18, 2018 to Mar 21, 2019
      • Assets in custody · $81.8M to $97.9M
        Dec 18, 2018 to Mar 21, 2019
      • Employees · 26 to 27
        Dec 18, 2018 to Mar 21, 2019
      • State-registered IARs · 12 to 15
        Dec 18, 2018 to Mar 21, 2019
      • Other offices · 2 to 1
        Dec 18, 2018 to Mar 21, 2019
      • Discretionary RAUM · $1.3B to $1.2B
        Dec 18, 2018 to Mar 21, 2019
      • HNW RAUM · $1.5B to $1.5B
        Dec 18, 2018 to Mar 21, 2019
      • Individual RAUM · $62.5M to $36.2M
        Dec 18, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $360M to $397M
        Dec 18, 2018 to Mar 21, 2019
      • Pension RAUM · $6.3M to $3.1M
        Dec 18, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · unset to 3436159.0
        Dec 18, 2018 to Mar 21, 2019
      • RAUM · $1.6B to $1.6B
        Dec 18, 2018 to Mar 21, 2019
      • Other offices · unset to 2.0
        Mar 24, 2017 to Mar 27, 2018
      • Accounts · 1,944 to 1,815
        Mar 24, 2017 to Mar 27, 2018
      • HNW clients · unset to 227.0
        Mar 24, 2017 to Mar 27, 2018
      • Individual clients · unset to 163.0
        Mar 24, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 5.0
        Mar 24, 2017 to Mar 27, 2018
      • Assets in custody · $117M to $81.8M
        Mar 24, 2017 to Mar 27, 2018
      Signals
      3 dated events
      • Jay Jerome Jacobs (Chief Market Strategist) no longer on Schedule A of A••••• W••••• M••••••••• L•• (listed 2019-03-21, absent 2020-03-18)
        Mar 18, 2020 · Control person left · inference
      • Sapir Matthew Ristuccia (Chief Investment Officer) appeared on Schedule A of A••••• W••••• M••••••••• L••
        Mar 21, 2019 · Control person joined · fact
      • A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 20, 2013 · First SEC registration · fact
      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