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.

Former SEC-registered adviser

Alpha Pension Group, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 171290SEC 801-80460IAPD
Latest filing Mar 30, 2021
First filing on the tape Oct 6, 2014 · 17 filings
RAUM
$7.5M
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
22
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$7.5M as of Mar 19, 2020
Mar 10, 2019$5.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 19, 2020
Feb 27, 20153 then
Employees (5.A)22 as of Mar 19, 2020
Feb 27, 201515 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 11 to 12
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$628,383derivedRAUM 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
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween the last two annual amendments
Advisor growth, one year
+9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$7.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
520reported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • John Richard Cawthorne · Presidentcontrol
    since 05/2014 · owns 50% to 75%
  • Deen Tracy Helms · Chief Compliance Officercontrol
    since 12/2017 · owns less than 5%
  • Patrick Keith Killion · Chief Operations Officercontrol
    since 10/2018 · owns less than 5%
  • Robert Milas · Chief Investment Officercontrol
    since 10/2018 · owns less than 5%
  • Paul Mark Salamone · Vice Presidentcontrol
    since 05/2014 · owns 25% to 50%
Entity owners
  • Hub International Limited · Sole Shareholder
    direct · 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
  • Accounts · 1 to 2
    Oct 11, 2019 to Mar 19, 2020
  • Pension plan clients · 467 to 520
    Oct 11, 2019 to Mar 19, 2020
  • Employees · 21 to 22
    Oct 11, 2019 to Mar 19, 2020
  • State-registered IARs · 11 to 12
    Oct 11, 2019 to Mar 19, 2020
  • Discretionary RAUM · $5.6M to $7.5M
    Oct 11, 2019 to Mar 19, 2020
  • Pension RAUM · $5.6M to $7.5M
    Oct 11, 2019 to Mar 19, 2020
  • RAUM · $5.6M to $7.5M
    Oct 11, 2019 to Mar 19, 2020
  • HQ city · LEXINGTON to BOSTON
    Mar 10, 2019 to Jul 18, 2019
  • Accounts · unset to 1.0
    Dec 17, 2018 to Mar 10, 2019
  • Advisory employees · 9 to 12
    Dec 17, 2018 to Mar 10, 2019
  • BD registered reps · 7 to 12
    Dec 17, 2018 to Mar 10, 2019
  • Pension plan clients · 400 to 467
    Dec 17, 2018 to Mar 10, 2019
  • Employees · 12 to 21
    Dec 17, 2018 to Mar 10, 2019
  • Insurance-licensed employees · 5 to 7
    Dec 17, 2018 to Mar 10, 2019
  • State-registered IARs · 6 to 11
    Dec 17, 2018 to Mar 10, 2019
  • Discretionary RAUM · unset to 5600681.0
    Dec 17, 2018 to Mar 10, 2019
  • Non-discretionary RAUM · unset to 0.0
    Dec 17, 2018 to Mar 10, 2019
  • Pension RAUM · $0 to $5.6M
    Dec 17, 2018 to Mar 10, 2019
  • RAUM · unset to 5600681.0
    Dec 17, 2018 to Mar 10, 2019
  • BD registered reps · 9 to 7
    Dec 6, 2017 to Mar 28, 2018
  • Pension plan clients · unset to 400.0
    Dec 6, 2017 to Mar 28, 2018
  • Insurance-licensed employees · 6 to 5
    Dec 6, 2017 to Mar 28, 2018
  • Pension RAUM · unset to 0.0
    Dec 6, 2017 to Mar 28, 2018
  • Other offices · unset to 0.0
    Mar 24, 2017 to Dec 6, 2017
  • Advisory employees · 7 to 9
    Feb 1, 2017 to Mar 24, 2017
  • BD registered reps · 8 to 9
    Feb 1, 2017 to Mar 24, 2017
  • Employees · 14 to 12
    Feb 1, 2017 to Mar 24, 2017
  • Advisory activities · 4 to 2
    Mar 15, 2016 to Jul 27, 2016
  • Employees · 15 to 14
    Feb 27, 2015 to Mar 15, 2016
  • Insurance-licensed employees · 3 to 6
    Feb 27, 2015 to Mar 15, 2016
  • State-registered IARs · 3 to 6
    Feb 27, 2015 to Mar 15, 2016
  • Insurance-licensed employees · 0 to 3
    Oct 6, 2014 to Feb 12, 2015
  • State-registered IARs · 0 to 3
    Oct 6, 2014 to Feb 12, 2015
  • Discretionary RAUM · 0.0 to unset
    Oct 6, 2014 to Feb 12, 2015
  • Non-discretionary RAUM · 0.0 to unset
    Oct 6, 2014 to Feb 12, 2015
  • RAUM · 0.0 to unset
    Oct 6, 2014 to Feb 12, 2015
  • Accounts · 0.0 to unset
    Oct 6, 2014 to Feb 12, 2015
  • Advisory employees · 1 to 7
    Oct 6, 2014 to Feb 12, 2015
  • BD registered reps · 2 to 8
    Oct 6, 2014 to Feb 12, 2015
  • Employees · 4 to 15
    Oct 6, 2014 to Feb 12, 2015
Signals
1 dated events
  • Alpha Pension Group, Inc. filed its initial SEC registration (Form ADV)
    Oct 6, 2014 · 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