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
R••• L••• A•••• M•••••••••
Legal name R••• L••• A•••• M••••••••• I•••
Latest filing Jun 18, 2019
First filing on the tape May 1, 2015 · 16 filings
RAUM
$8.4B
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
41
20 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
3
$72.2M gross assets
History
16 filings and snapshots on the tape
RAUM$8.4B as of Mar 29, 2019
Mar 29, 2016$5.7B then
HNW client RAUM$0 as of Mar 29, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 29, 20160 then
Employees (5.A)41 as of Mar 29, 2019
Mar 29, 201624 then
Private funds3 as of Mar 29, 2019
Mar 29, 20161 then
RAUM +8.2% over the last fiscal year+14% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Jun 18, 2019; 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
- $53.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $72.2M, 3 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pension and profit-sharing plans$4.8B57%
- State and municipal entities$1.9B23%
- Investment companies$729M8.7%
- Insurance companies$399M4.8%
- Corporations and businesses$250M3.0%
- Charitable organizations$224M2.7%
- Pooled investment vehicles$72.2M0.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 100reported
- Charitable clients
- 8reported
- Accounts
- 157reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $64.9M managedreported
- Custody of client assets
- $72.2M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• W••••••• C••••••••• · Head Of Sales, Client Service, And Strategy And Board Membercontrolsince 08/2017 · owns less than 5%
- B•••• N•••• J•••• · Board Member; Head Of Legal, Slc Managementcontrolsince 04/2018 · owns less than 5%
- F••••••••• R••••••• S•••• · President, Chief Investment Officer, And Board Membercontrolsince 08/2017 · owns less than 5%
- K••••••••• T•••••• J••• · Chief Operating Officer And Chief Compliance Officercontrolsince 04/2015 · owns less than 5%
- M•••••• T•••••• P•••• · Chairman Of The Board; Head Of I••••••••• Business, Slc Managementcontrolsince 11/2018 · owns less than 5%
- P••••••• S••••••• C• · Board Member; President, Slc Managementcontrolsince 04/2015 · owns less than 5%
Entity owners
- S•• L••• I••••••••• M••••••••• U•••• I••• · Sole Shareholderdirect · owns 75% or more
- S•• L••• 2••••• F•••••••• C••• · Sole Shareholderindirect · owns 75% or more of S•• L••• A•••••••• C•••••• O• C••••••••• O••••••••• H•••••••• I•••
- S•• L••• A•••••••• C•••••• O• C••••••••• O••••••••• H•••••••• I••• · Sole Shareholderindirect · owns 75% or more of S•• L••• F•••••••• ••••• H•••••••• I•••
- S•• L••• F•••••••• ••••• H•••••••• I••• · Sole Shareholderindirect · owns 75% or more of S•• L••• F•••••••• ••••• I••••••••• L••
- S•• L••• F•••••••• ••••• I••••••••• L•• · Sole Shareholderindirect · owns 75% or more of S•• L••• I••••••••• M••••••••• U•••• I•••
- S•• L••• F•••••••• I••• · Sole Shareholderindirect · owns 75% or more of S•• L••• G••••• I••••••••• I••• · public reporting company
- S•• L••• G••••• I••••••••• I••• · Sole Shareholderindirect · owns 75% or more of S•• L••• 2••••• F•••••••• C•••
Related persons
Schedule D 7.A
- B••••••Greenoak (U.S.) Limited Partnershipinvestment advisernRAUM $24B
- I••••••••• L••• A•• A•••••• C••••••real estaten
- M•• I••••••••• M•••••••••investment adviserbanknRAUM $514B
- M•• I••••••••• A••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $114B
- P•••• A•••••••• I•••investment advisernRAUM $18B
- R••• L••• F••• M••••••••• L••pooled vehicle sponsory
- S•• L••• A•••••••• C•••••• O• C•••••real estaten
- S•• L••• C••••••• C••••••••• M••••••• G• I•••pooled vehicle sponsorn
- S•• L••• C••••••• R• G• I•••pooled vehicle sponsorn
- S•• L••• C•••••• M••••••••• ••••••• I•••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- Slc Managementinvestment adviserbanknRAUM $76B
- S•• L••• C••• F• G• I•••pooled vehicle sponsorn
- S•• L••• I••••••••• D••••••••• ••••• L••broker-dealern
- S•• L••• L••• T••• C••• F• G• I•••pooled vehicle sponsorn
- S•• L••• P••• G• I•••pooled vehicle sponsorn
Advisers that list R••• L••• A•••• M••••••••• as a related person
- 107680 n
Offices
Schedule D 1.F, the 25 largest
- Wellesley, MA5 employees
- Salem, NH3 employees
- Bethesda, MD1 employees
What changed
consecutive filings, newest first
- Accounts · 155 to 157Apr 2, 2018 to Mar 29, 2019
- Advisory employees · 19 to 20Apr 2, 2018 to Mar 29, 2019
- BD registered reps · 2 to 7Apr 2, 2018 to Mar 29, 2019
- Corporate clients · unset to 5.0Apr 2, 2018 to Mar 29, 2019
- Pension plan clients · 95 to 100Apr 2, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 3Apr 2, 2018 to Mar 29, 2019
- Assets in custody · $43.7M to $72.2MApr 2, 2018 to Mar 29, 2019
- Employees · 39 to 41Apr 2, 2018 to Mar 29, 2019
- Other offices · 2 to 3Apr 2, 2018 to Mar 29, 2019
- Private funds · 2 to 3Apr 2, 2018 to Mar 29, 2019
- Discretionary RAUM · $7.7B to $8.4BApr 2, 2018 to Mar 29, 2019
- Pension RAUM · $4.6B to $4.8BApr 2, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $43.7M to $72.2MApr 2, 2018 to Mar 29, 2019
- RAUM · $7.7B to $8.4BApr 2, 2018 to Mar 29, 2019
- Wrap assets (manager) · $67.9M to $64.9MApr 2, 2018 to Mar 29, 2019
- Accounts · 154 to 155Sep 20, 2017 to Mar 29, 2018
- Advisory employees · 10 to 19Sep 20, 2017 to Mar 29, 2018
- Advisory activities · 4 to 3Sep 20, 2017 to Mar 29, 2018
- BD registered reps · 1 to 2Sep 20, 2017 to Mar 29, 2018
- Charity clients · unset to 8.0Sep 20, 2017 to Mar 29, 2018
- Pension plan clients · unset to 95.0Sep 20, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Sep 20, 2017 to Mar 29, 2018
- Assets in custody · $23.6M to $43.7MSep 20, 2017 to Mar 29, 2018
- Employees · 28 to 39Sep 20, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Sep 20, 2017 to Mar 29, 2018
- Private funds · 1 to 2Sep 20, 2017 to Mar 29, 2018
- Discretionary RAUM · $7.3B to $7.7BSep 20, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Sep 20, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Sep 20, 2017 to Mar 29, 2018
- Pension RAUM · unset to 4590667295.0Sep 20, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 43650410.0Sep 20, 2017 to Mar 29, 2018
- RAUM · $7.3B to $7.7BSep 20, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 67936795.0Sep 20, 2017 to Mar 29, 2018
- Wrap assets (sponsor) · unset to 0.0Sep 20, 2017 to Mar 29, 2018
- Accounts · 157 to 154Aug 8, 2017 to Sep 20, 2017
- Assets in custody · $454M to $23.6MAug 8, 2017 to Sep 20, 2017
- Employees · 27 to 28Aug 8, 2017 to Sep 20, 2017
- Discretionary RAUM · $7.0B to $7.3BAug 8, 2017 to Sep 20, 2017
- RAUM · $7.0B to $7.3BAug 8, 2017 to Sep 20, 2017
- Accounts · 146 to 157Jun 16, 2017 to Aug 8, 2017
Signals
6 dated events
- P•••• T••••• M••••• (Chairman Of The Board) appeared on Schedule A of R••• L••• A•••• M•••••••••Mar 29, 2019 · Control person joined · fact
- J•••• N••• B••• (Board Member) appeared on Schedule A of R••• L••• A•••• M•••••••••Mar 29, 2019 · Control person joined · fact
- T••••• John Donnelly (Board Member) no longer on Schedule A of R••• L••• A•••• M••••••••• (listed 2018-04-02, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Scott Davis (Board Member) no longer on Schedule A of R••• L••• A•••• M••••••••• (listed 2018-04-02, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- R••• L••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 1, 2015 · Succession (Item 4) · fact
- R••• L••• A•••• M••••••••• filed its initial SEC registration (Form ADV)May 1, 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