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
T•••••••• F••••••••• I•••
Latest filing Mar 29, 2023
First filing on the tape Mar 30, 2015 · 38 filings
RAUM
$717M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$705M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$717M as of Mar 29, 2023
Mar 18, 2016$375M then
HNW client RAUM$456M as of Mar 29, 2023
Mar 20, 2018$300M then
State-registered IARs (5.B.3)5 as of Mar 29, 2023
Mar 18, 201610 then
Employees (5.A)20 as of Mar 29, 2023
Mar 18, 201615 then
Private funds: no history
RAUM -11% over the last fiscal year+6.3% a year over threeIARs 10 to 5offices 2 to 1
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $602,954derivedHNW RAUM over HNW clients
- Average account
- $293,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $717MreportedItem 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$456M64%
- Individuals$249M35%
- Charitable organizations$6.5M0.9%
- Corporations and businesses$4.6M0.6%
- Pension and profit-sharing plans$1.6M0.2%
- Individual clients
- 226reported
- HNW clients
- 756reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 2,447reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- S••• P•••••• G•••••• to O•••••••••Dec 31, 2023 · Other
- C•••• K•••• P••••••• to O•••••••••Dec 31, 2023 · Other
- D•••••• T••••••• W••••• to O•••••••••Dec 31, 2023 · Other
- K••••••• J•••• K•••••• to O•••••••••Dec 31, 2023 · Other
- M••• P•••••• S••••••• to O•••••••••Dec 31, 2023 · Other
- J••••• S• Y••• to O•••••••••Jul 25, 2023 · Other
- N••• J••••• T••••••• to O•••••••••Apr 5, 2023 · Other
- L••• L••••• W••• to A••••••••• F•••••••• S•••••••• L••Nov 21, 2019 · RIA to affiliated broker-dealer or bank
- A•••••• D•••••••• to C••••••••• F•••••••• N••••••Apr 30, 2019 · RIA to affiliated broker-dealer or bank
- K••••••• A• Q•••• to L•• F•••••••• L••Jul 21, 2016 · Other
- J•••• J• B•••••• to M••• S••••• F•••••••• S••••••••• L••Feb 1, 2016 · Other
Joined, latest
- J••••• S• Y••• from A•• W••••• M•••••••••Jan 20, 2021 · RIA to RIA
- A•••••• D•••••••• from L•• F•••••••• L••Jul 30, 2018 · Other
- K••••••• J•••• K•••••• from L•• F•••••••• L••Jul 30, 2018 · Other
- L••• L••••• W••• from A••••••••• F•••••••• S•••••••• L••Jul 30, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••••• T••••••• W••••• from P••••• I••••••••• M••••••••• L••Jul 26, 2018 · Other
- C•••• K•••• P••••••• from C•••••• S••••• • C••• I•••Jun 6, 2017 · Other
- K••••••• A• Q•••• from C•••••• S••••• • C••• I•••Nov 18, 2015 · Other
- S••• P•••••• G•••••• from L•• F•••••••• L••May 20, 2015 · Other
- J•••• J• B•••••• from L•• F•••••••• L••May 20, 2015 · Other
- N••• J••••• T••••••• from L•• F•••••••• L••May 20, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for O•••••••••Dec 31, 2023 · Danvers, Ma · Firm absorbed
- 2 joined from L•• F•••••••• L••Nov 7, 2017 · Danvers, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J••••• F•••••• · Managing Director / Chief Compliance Officer / President / Secretary / Treasurercontrolsince 03/2015 · owns 75% or more
- T•••••••• N•••• J••••• · Managing Director / President Of Institutional Servicescontrolsince 03/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Danvers, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,382 to 2,447Nov 4, 2022 to Mar 29, 2023
- Advisory employees · 8 to 7Nov 4, 2022 to Mar 29, 2023
- BD registered reps · 4 to 0Nov 4, 2022 to Mar 29, 2023
- Corporate clients · 10 to 8Nov 4, 2022 to Mar 29, 2023
- HNW clients · 272 to 756Nov 4, 2022 to Mar 29, 2023
- Individual clients · 670 to 226Nov 4, 2022 to Mar 29, 2023
- Pension plan clients · 108 to 5Nov 4, 2022 to Mar 29, 2023
- Employees · 18 to 20Nov 4, 2022 to Mar 29, 2023
- Insurance-licensed employees · 0 to 10Nov 4, 2022 to Mar 29, 2023
- State-registered IARs · 10 to 5Nov 4, 2022 to Mar 29, 2023
- Other offices · 2 to 1Nov 4, 2022 to Mar 29, 2023
- Discretionary RAUM · $796M to $712MNov 4, 2022 to Mar 29, 2023
- HNW RAUM · $553M to $456MNov 4, 2022 to Mar 29, 2023
- Individual RAUM · $230M to $249MNov 4, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $5.9M to $5.5MNov 4, 2022 to Mar 29, 2023
- Pension RAUM · $2.9M to $1.6MNov 4, 2022 to Mar 29, 2023
- RAUM · $802M to $717MNov 4, 2022 to Mar 29, 2023
- Accounts · 2,205 to 2,382Dec 3, 2021 to Mar 30, 2022
- Corporate clients · 8 to 10Dec 3, 2021 to Mar 30, 2022
- HNW clients · 218 to 272Dec 3, 2021 to Mar 30, 2022
- Individual clients · 676 to 670Dec 3, 2021 to Mar 30, 2022
- Pension plan clients · 117 to 108Dec 3, 2021 to Mar 30, 2022
- Employees · 16 to 18Dec 3, 2021 to Mar 30, 2022
- State-registered IARs · 9 to 10Dec 3, 2021 to Mar 30, 2022
- Discretionary RAUM · $670M to $796MDec 3, 2021 to Mar 30, 2022
- HNW RAUM · $432M to $553MDec 3, 2021 to Mar 30, 2022
- Individual RAUM · $231M to $230MDec 3, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $4.6M to $5.9MDec 3, 2021 to Mar 30, 2022
- Pension RAUM · $1.3M to $2.9MDec 3, 2021 to Mar 30, 2022
- RAUM · $674M to $802MDec 3, 2021 to Mar 30, 2022
- Business name · C•••••• C•••••• G••••• I••• to T•••••••• F••••••••• I•••May 7, 2021 to May 9, 2021
- Legal name · C•••••• C•••••• G••••• I••• to T•••••••• F••••••••• I•••May 7, 2021 to May 9, 2021
- Accounts · 2,135 to 2,205Sep 11, 2020 to Mar 31, 2021
- Advisory employees · 9 to 8Sep 11, 2020 to Mar 31, 2021
- Corporate clients · 5 to 8Sep 11, 2020 to Mar 31, 2021
- HNW clients · 192 to 218Sep 11, 2020 to Mar 31, 2021
- Individual clients · 654 to 676Sep 11, 2020 to Mar 31, 2021
- Pension plan clients · 86 to 117Sep 11, 2020 to Mar 31, 2021
- Employees · 15 to 16Sep 11, 2020 to Mar 31, 2021
- State-registered IARs · 8 to 9Sep 11, 2020 to Mar 31, 2021
Signals
12 dated events
- D•••••• T••••••• W••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-12)Dec 31, 2023 · Advisor changed firm · fact
- C•••• K•••• P••••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-12)Dec 31, 2023 · Advisor changed firm · fact
- S••• P•••••• G•••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-12)Dec 31, 2023 · Advisor changed firm · fact
- M••• P•••••• S••••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-12)Dec 31, 2023 · Advisor changed firm · fact
- K••••••• J•••• K•••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-21)Dec 31, 2023 · Advisor changed firm · fact
- T•••••••• F••••••••• I•••'s advisors moved to O••••••••• (Danvers, MA): 5 of 5 registered, on the same dayDec 31, 2023 · Firm absorbed (people side) · derived
- J••••• S• Y••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2023-08-07)Jul 25, 2023 · Advisor changed firm · fact
- N••• J••••• T••••••• left T•••••••• F••••••••• I••• for O••••••••• (registered 2022-07-21)Apr 5, 2023 · Advisor changed firm · fact
- Alexander David Caruso (Managing Member / Founding Chairman And Managing Director) no longer on Schedule A of T•••••••• F••••••••• I••• (listed 2018-10-22, absent 2019-01-08)Jan 8, 2019 · Control person left · inference
- T•••••••• F••••••••• I••• reported RAUM $517.0M, down 52% from $1.1B (2017-11-01 to 2018-03-20)Mar 20, 2018 · RAUM change · derived
- C•••••• C•••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 12, 2015 · Succession (Item 4) · fact
- C•••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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