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••••••••• F•••••••• G••••

Former SEC-registered adviserLexington, MassachusettsCRD 174135SEC 801-106513IAPD
Legal name C••••••••• F•••••••• G••••• L••
Latest filing Mar 11, 2018
First filing on the tape Jul 31, 2015 · 11 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$134M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$140M as of Mar 11, 2018
Mar 29, 2016$111M then
HNW client RAUM: $117M
State-registered IARs (5.B.3)3 as of Mar 11, 2018
Mar 29, 20162 then
Employees (5.A)6 as of Mar 11, 2018
Mar 29, 20166 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 11, 2018; every figure names its basis
RAUM per advisor
$46.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$363,937derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$126MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M84%
  • Individuals$17.2M12%
  • Pension and profit-sharing plans$5.1M3.7%
  • Charitable organizations$222,0840.2%
Individual clients
84reported
HNW clients
100reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
384reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
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
  • T••••••• S••••• E••••• · Managing Member / Chief Compliance Officercontrol
    since 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Nashua, NH1 employees
What changed
consecutive filings, newest first
  • Accounts · 360 to 384
    Jun 9, 2017 to Mar 11, 2018
  • Advisory activities · 3 to 4
    Jun 9, 2017 to Mar 11, 2018
  • HNW clients · unset to 100.0
    Jun 9, 2017 to Mar 11, 2018
  • Individual clients · unset to 84.0
    Jun 9, 2017 to Mar 11, 2018
  • Financial planning clients · 0 to 101-250
    Jun 9, 2017 to Mar 11, 2018
  • State-registered IARs · 2 to 3
    Jun 9, 2017 to Mar 11, 2018
  • Other offices · unset to 1.0
    Jun 9, 2017 to Mar 11, 2018
  • Discretionary RAUM · $120M to $140M
    Jun 9, 2017 to Mar 11, 2018
  • HNW RAUM · unset to 117174667.0
    Jun 9, 2017 to Mar 11, 2018
  • Individual RAUM · unset to 17213844.0
    Jun 9, 2017 to Mar 11, 2018
  • Pension RAUM · unset to 5141367.0
    Jun 9, 2017 to Mar 11, 2018
  • RAUM · $120M to $140M
    Jun 9, 2017 to Mar 11, 2018
  • Related adviser · false to true
    Jun 9, 2017 to Mar 11, 2018
  • Related broker-dealer · true to false
    Jun 9, 2017 to Mar 11, 2018
  • Wrap assets (manager) · unset to 0.0
    Jun 9, 2017 to Mar 11, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Jun 9, 2017 to Mar 11, 2018
  • Accounts · 354 to 360
    Nov 3, 2016 to Feb 23, 2017
  • Advisory employees · 2 to 3
    Nov 3, 2016 to Feb 23, 2017
  • Insurance-licensed employees · 2 to 0
    Nov 3, 2016 to Feb 23, 2017
  • Discretionary RAUM · $111M to $120M
    Nov 3, 2016 to Feb 23, 2017
  • RAUM · $111M to $120M
    Nov 3, 2016 to Feb 23, 2017
  • Related broker-dealer · false to true
    Nov 3, 2016 to Feb 23, 2017
  • Accounts · 328 to 354
    Nov 13, 2015 to Mar 29, 2016
  • Advisory activities · 2 to 3
    Nov 13, 2015 to Mar 29, 2016
  • BD registered reps · 2 to 3
    Nov 13, 2015 to Mar 29, 2016
  • Employees · 5 to 6
    Nov 13, 2015 to Mar 29, 2016
  • Discretionary RAUM · $107M to $111M
    Nov 13, 2015 to Mar 29, 2016
  • RAUM · $107M to $111M
    Nov 13, 2015 to Mar 29, 2016
  • Accounts · 0 to 328
    Aug 20, 2015 to Nov 13, 2015
  • Discretionary RAUM · $0 to $107M
    Aug 20, 2015 to Nov 13, 2015
  • RAUM · $0 to $107M
    Aug 20, 2015 to Nov 13, 2015
Signals
2 dated events
  • 2 advisors left L•• F•••••••• L•• (Stow, MA) for C••••••••• F•••••••• G•••• on the same day
    Nov 24, 2025 · Team lift-out · derived
  • C••••••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
    Jul 31, 2015 · 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