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••••••••• L••

Former SEC-registered adviserWorcester, MassachusettsCRD 175222SEC 801-83167IAPD
Latest filing Jun 23, 2021
First filing on the tape Mar 21, 2015 · 24 filings
RAUM
$212M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
80%
$170M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$212M as of Mar 26, 2021
Feb 6, 2016$117M then
HNW client RAUM$112M as of Mar 26, 2021
Feb 10, 2018$83.2M then
State-registered IARs (5.B.3)3 as of Mar 26, 2021
Feb 6, 20163 then
Employees (5.A)4 as of Mar 26, 2021
Feb 6, 20164 then
Private funds: no history
RAUM +13% over the last fiscal year+7.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 23, 2021; every figure names its basis
RAUM per advisor
$70.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$290,011derivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$112M53%
  • Individuals$58.2M27%
  • Corporations and businesses$34.2M16%
  • Charitable organizations$5.3M2.5%
  • Pension and profit-sharing plans$2.0M0.9%
Individual clients
296reported
HNW clients
64reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
731reported
Financial planning clients
0reported
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
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
  • W••••••••• A•••• A•••••• · Managing Member, Managing Principal, Financial Advisor And Chief Compliance Officercontrol
    since 03/2015 · 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
  • HQ city · WESTBOROUGH to WORCESTER
    Mar 26, 2021 to Apr 20, 2021
  • Accounts · 713 to 731
    May 20, 2020 to Mar 26, 2021
  • HNW clients · 51 to 64
    May 20, 2020 to Mar 26, 2021
  • Individual clients · 301 to 296
    May 20, 2020 to Mar 26, 2021
  • Financial planning clients · 1-10 to 0
    May 20, 2020 to Mar 26, 2021
  • Discretionary RAUM · $158M to $178M
    May 20, 2020 to Mar 26, 2021
  • HNW RAUM · $94.2M to $112M
    May 20, 2020 to Mar 26, 2021
  • Individual RAUM · $58.8M to $58.2M
    May 20, 2020 to Mar 26, 2021
  • Non-discretionary RAUM · $29.2M to $34.2M
    May 20, 2020 to Mar 26, 2021
  • Pension RAUM · $1.7M to $2.0M
    May 20, 2020 to Mar 26, 2021
  • RAUM · $187M to $212M
    May 20, 2020 to Mar 26, 2021
  • Accounts · 700 to 713
    Feb 26, 2019 to Mar 12, 2020
  • Corporate clients · unset to 12.0
    Feb 26, 2019 to Mar 12, 2020
  • Individual clients · 285 to 301
    Feb 26, 2019 to Mar 12, 2020
  • Discretionary RAUM · $134M to $158M
    Feb 26, 2019 to Mar 12, 2020
  • HNW RAUM · $85.5M to $94.2M
    Feb 26, 2019 to Mar 12, 2020
  • Individual RAUM · $46.6M to $58.8M
    Feb 26, 2019 to Mar 12, 2020
  • Non-discretionary RAUM · $23.6M to $29.2M
    Feb 26, 2019 to Mar 12, 2020
  • Pension RAUM · $1.5M to $1.7M
    Feb 26, 2019 to Mar 12, 2020
  • RAUM · $157M to $187M
    Feb 26, 2019 to Mar 12, 2020
  • Accounts · 668 to 700
    Jun 20, 2018 to Feb 26, 2019
  • Advisory activities · 5 to 4
    Jun 20, 2018 to Feb 26, 2019
  • HNW clients · 38 to 51
    Jun 20, 2018 to Feb 26, 2019
  • Individual clients · 289 to 285
    Jun 20, 2018 to Feb 26, 2019
  • Pension plan clients · 12.0 to unset
    Jun 20, 2018 to Feb 26, 2019
  • Discretionary RAUM · $143M to $134M
    Jun 20, 2018 to Feb 26, 2019
  • HNW RAUM · $83.2M to $85.5M
    Jun 20, 2018 to Feb 26, 2019
  • Individual RAUM · $58.8M to $46.6M
    Jun 20, 2018 to Feb 26, 2019
  • Non-discretionary RAUM · $25.9M to $23.6M
    Jun 20, 2018 to Feb 26, 2019
  • Pension RAUM · $27.0M to $1.5M
    Jun 20, 2018 to Feb 26, 2019
  • RAUM · $169M to $157M
    Jun 20, 2018 to Feb 26, 2019
  • Accounts · 553 to 668
    Jul 10, 2017 to Feb 10, 2018
  • HNW clients · unset to 38.0
    Jul 10, 2017 to Feb 10, 2018
  • Individual clients · unset to 289.0
    Jul 10, 2017 to Feb 10, 2018
  • Pension plan clients · unset to 12.0
    Jul 10, 2017 to Feb 10, 2018
  • Other offices · unset to 0.0
    Jul 10, 2017 to Feb 10, 2018
  • Discretionary RAUM · $115M to $143M
    Jul 10, 2017 to Feb 10, 2018
  • HNW RAUM · unset to 83215554.0
    Jul 10, 2017 to Feb 10, 2018
  • Individual RAUM · unset to 58822445.0
    Jul 10, 2017 to Feb 10, 2018
  • Non-discretionary RAUM · $18.6M to $25.9M
    Jul 10, 2017 to Feb 10, 2018
Signals
1 dated events
  • C••••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 21, 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