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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••••••• M••••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Jun 28, 2016 · 18 filings
SEC status approved since Jul 5, 2016
RAUM
$290M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$290M as of Feb 4, 2026
Mar 29, 2017$865M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 4, 2026
Mar 29, 20170 then
Employees (5.A)3 as of Feb 4, 2026
Mar 29, 20172 then
Private funds2 as of Feb 4, 2026
Mar 29, 20173 then
RAUM +2.0% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 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
- $145MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +2.0%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $290M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$290M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $290M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••••• F••• M••••••••• L•••no longer reported | Private Equity Fund | $1.6B | 3 | Mar 30, 2016 |
| F••••••••• F••• E••••• L••• | Private Equity Fund | $191M | 3 | Jun 28, 2016 |
| F••••••••• F••• 1• L••• | Private Equity Fund | $146M | 3 | May 8, 2015 |
Owners and control persons
Schedule A and B, latest filing
- S••••••••• A•••••• L•••• · Elected Manager, Membercontrolsince 03/2015 · owns 75% or more
- S••••••••• H•••••• H••••••••• · Chief Compliance Officer, Elected Manager, Membercontrolsince 03/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••• L•••• S••••••••pooled vehicle sponsory
- H••••• H••••••••• S••••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $250M to $290MSep 5, 2025 to Feb 4, 2026
- Discretionary RAUM · $285M to $290MSep 5, 2025 to Feb 4, 2026
- Pooled vehicle RAUM · $285M to $290MSep 5, 2025 to Feb 4, 2026
- RAUM · $285M to $290MSep 5, 2025 to Feb 4, 2026
- Assets in custody · $284M to $250MFeb 16, 2025 to Sep 5, 2025
- Discretionary RAUM · $284M to $285MFeb 16, 2025 to Sep 5, 2025
- Pooled vehicle RAUM · $284M to $285MFeb 16, 2025 to Sep 5, 2025
- RAUM · $284M to $285MFeb 16, 2025 to Sep 5, 2025
- Assets in custody · $288M to $284MApr 1, 2024 to Feb 16, 2025
- Financial planning clients · unset to Apr 1, 2024 to Feb 16, 2025
- Discretionary RAUM · $288M to $284MApr 1, 2024 to Feb 16, 2025
- Pooled vehicle RAUM · $288M to $284MApr 1, 2024 to Feb 16, 2025
- RAUM · $288M to $284MApr 1, 2024 to Feb 16, 2025
- Assets in custody · $458M to $288MJan 3, 2023 to Apr 1, 2024
- Discretionary RAUM · $458M to $288MJan 3, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $458M to $288MJan 3, 2023 to Apr 1, 2024
- RAUM · $458M to $288MJan 3, 2023 to Apr 1, 2024
- Accounts · 3 to 2Apr 30, 2022 to Jan 3, 2023
- Pooled vehicle clients · 3 to 2Apr 30, 2022 to Jan 3, 2023
- Assets in custody · $2.9B to $458MApr 30, 2022 to Jan 3, 2023
- Private funds · 3 to 2Apr 30, 2022 to Jan 3, 2023
- Discretionary RAUM · $2.9B to $458MApr 30, 2022 to Jan 3, 2023
- Pooled vehicle RAUM · $2.9B to $458MApr 30, 2022 to Jan 3, 2023
- RAUM · $2.9B to $458MApr 30, 2022 to Jan 3, 2023
- Assets in custody · $2.0B to $2.9BMar 31, 2021 to Apr 30, 2022
- Discretionary RAUM · $2.3B to $2.9BMar 31, 2021 to Apr 30, 2022
- Pooled vehicle RAUM · $2.3B to $2.9BMar 31, 2021 to Apr 30, 2022
- RAUM · $2.3B to $2.9BMar 31, 2021 to Apr 30, 2022
- Discretionary RAUM · $2.2B to $2.3BApr 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $2.2B to $2.3BApr 29, 2020 to Mar 31, 2021
- RAUM · $2.2B to $2.3BApr 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.0B to $2.2BMar 30, 2019 to Apr 29, 2020
- Pooled vehicle RAUM · $2.0B to $2.2BMar 30, 2019 to Apr 29, 2020
- RAUM · $2.0B to $2.2BMar 30, 2019 to Apr 29, 2020
- Individual clients · 0.0 to unsetSep 7, 2018 to Mar 30, 2019
- Assets in custody · $986M to $2.0BSep 7, 2018 to Mar 30, 2019
- Discretionary RAUM · $994M to $2.0BSep 7, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $994M to $2.0BSep 7, 2018 to Mar 30, 2019
- RAUM · $994M to $2.0BSep 7, 2018 to Mar 30, 2019
- Assets in custody · $997M to $986MMar 26, 2018 to Sep 7, 2018
Signals
5 dated events
- F••••••••• M••••••••• L•• reported RAUM $288.3M, down 37% from $457.9M (2023-01-03 to 2024-04-01)Apr 1, 2024 · RAUM change · derived
- F••••••••• M••••••••• L•• reported RAUM $457.9M, down 84% from $2.9B (2022-04-30 to 2023-01-03)Jan 3, 2023 · RAUM change · derived
- F••••••••• M••••••••• L•• reported RAUM $2.9B, up 25% from $2.3B (2021-03-31 to 2022-04-30)Apr 30, 2022 · RAUM change · derived
- F••••••••• M••••••••• L•• reported RAUM $2.0B, up 106% from $994.5M (2018-09-07 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- F••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F••••••••• M••••••••• L•• · Private Equityshared crd · organization
- F••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-714-3057reportedpublic record, Form ADV, Feb 4, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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