DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

O•• S•••• G••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 175052SEC 801-80980IAPD
Latest filing Apr 19, 2026
First filing on the tape Feb 9, 2015 · 16 filings
SEC status approved since Feb 19, 2015
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
16 filings and snapshots on the tape
RAUM$0 as of Apr 19, 2026
Mar 30, 2016$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 19, 2026
Mar 30, 20160 then
Employees (5.A)1 as of Apr 19, 2026
Mar 30, 20163 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 19, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%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 businesses and institutions, selection of other advisersreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
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••••••••• B•••••••• T••••• · Ceo/Ccocontrol
        since 02/2015 · owns less than 5%
      • M••••••••• B•••••••• T••••• · Shareholdercontrol
        since 11/2016 · owns 75% or more of O•• S•••• C•••••• ••• L••
      Entity owners
      • O•• S•••• A•••• A•• B••• L•• · Owner
        direct · owns 75% or more
      • O•• S•••• C•••••• ••• L•• · Owner
        indirect · owns 75% or more of O•• S•••• A•••• A•• B••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 0
        Mar 31, 2025 to Apr 19, 2026
      • Pension plan clients · unset to 0.0
        Mar 31, 2025 to Apr 19, 2026
      • Non-discretionary RAUM · $204M to $0
        Mar 31, 2025 to Apr 19, 2026
      • Pension RAUM · 203935337.0 to unset
        Mar 31, 2025 to Apr 19, 2026
      • RAUM · $204M to $0
        Mar 31, 2025 to Apr 19, 2026
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 31, 2025
      • Other offices · 1 to 0
        Mar 28, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $230M to $204M
        Mar 28, 2024 to Mar 31, 2025
      • Pension RAUM · $230M to $204M
        Mar 28, 2024 to Mar 31, 2025
      • RAUM · $230M to $204M
        Mar 28, 2024 to Mar 31, 2025
      • Employees · 2 to 1
        Mar 31, 2023 to Mar 28, 2024
      • Other offices · 2 to 1
        Mar 31, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $657M to $230M
        Mar 31, 2023 to Mar 28, 2024
      • Pension RAUM · $657M to $230M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $657M to $230M
        Mar 31, 2023 to Mar 28, 2024
      • Other offices · 0 to 2
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $923M to $657M
        Mar 31, 2022 to Mar 31, 2023
      • Pension RAUM · $923M to $657M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $923M to $657M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $1.0B to $923M
        Mar 31, 2021 to Mar 31, 2022
      • Pension RAUM · $1.0B to $923M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $1.0B to $923M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $999M to $1.0B
        Nov 30, 2020 to Mar 31, 2021
      • Pension RAUM · $999M to $1.0B
        Nov 30, 2020 to Mar 31, 2021
      • RAUM · $999M to $1.0B
        Nov 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $1.1B to $999M
        Mar 31, 2020 to Nov 30, 2020
      • Pension RAUM · $1.1B to $999M
        Mar 31, 2020 to Nov 30, 2020
      • RAUM · $1.1B to $999M
        Mar 31, 2020 to Nov 30, 2020
      • Non-discretionary RAUM · $1.2B to $1.1B
        Mar 29, 2019 to Mar 31, 2020
      • Pension RAUM · $1.2B to $1.1B
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $1.2B to $1.1B
        Mar 29, 2019 to Mar 31, 2020
      • Employees · 4 to 2
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $474M to $0
        Mar 30, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $896M to $1.2B
        Mar 30, 2018 to Mar 29, 2019
      • Pension RAUM · $1.4B to $1.2B
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $1.4B to $1.2B
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 4 to 3
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      Signals
      7 dated events
      • ••• Locked
        Sep 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Apr 19, 2026 · RAUM change · derived
      • ••• Locked
        Mar 28, 2024 · RAUM change · derived
      • ••• Locked
        Mar 28, 2024 · Control person left · inference
      • ••• Locked
        Mar 31, 2023 · RAUM change · derived
      • ••• Locked
        Mar 30, 2018 · RAUM change · derived
      • ••• Locked
        Feb 9, 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