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
O•••••••• • L••••••• I•••
Latest filing Mar 19, 2018
First filing on the tape Mar 15, 2012 · 13 filings
RAUM
$496M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
60%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
14 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$496M as of Mar 19, 2018
Mar 15, 2012$350M then
HNW client RAUM: $162M
State-registered IARs (5.B.3)14 as of Mar 19, 2018
Mar 15, 20120 then
Employees (5.A)16 as of Mar 19, 2018
Mar 27, 201320 then
Private funds: no history
RAUM -1.4% over the last fiscal year+1.1% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 19, 2018; every figure names its basis
- RAUM per advisor
- $35.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $830,668derivedHNW RAUM over HNW clients
- Average account
- $634,563derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$175M35%
- High-net-worth individuals$162M33%
- Individuals$138M28%
- Corporations and businesses$16.2M3.3%
- Charitable organizations$5.0M1.0%
- Individual clients
- 557reported
- HNW clients
- 195reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 781reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- H••••• L•••••• R•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 31, 2018 · RIA to affiliated broker-dealer or bank
- M•••••• S•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- C••••••• W•••••• J••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- K•••• J•••• L•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- C••••••••• J•••• S••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- M•••••• G••••• L•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- R•••••• O•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- T••••• H•••• A•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- K•••••• A•••••• R••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- R•••••• P••• C••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · RIA to affiliated broker-dealer or bank
- C•••••••• M•••• J••••• to T••••••• I••••••••• M••••••••• I•••May 30, 2018 · RIA to affiliated broker-dealer or bank
- C••••••••• G••••••• G••• to S••May 4, 2011 · Other
- D•••• W• W•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 14, 2011 · Other
- J••••• K•••• B••••• to C••••••••• F•••••••• N••••••Jan 30, 2009 · Other
- T••••• O••••• B••••• to L•• F•••••••• L••Apr 25, 2006 · Other
Joined, latest
- H••••• L•••••• R•••• from N•• E•••••• G•••• W••••• A•••••••• I•••Apr 1, 2018 · RIA to RIA
- K•••• J•••• L•••• from M•• I•••••••• S•••••••• L••Jun 23, 2015 · Other
- M•••••• S•••• from S••••••• I••••••••• I•••Aug 18, 2014 · Other
- D•••• W• W•••• from B••• O• A•••••• I••••••••• S•••••••• I•••Oct 29, 2009 · Other
- C••••••••• G••••••• G••• from N•• E•••••• S••••••••• C•••••••••Sep 1, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · West H•••Ford, Ct · Firm absorbed
- 2 left for C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 14, 2018 · Springfield, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• R••••• G••••• · Vice President, Secretarycontrolsince 04/2008 · owns 25% to 50%
- O••••••••• R•••••• · President, Treasurercontrolsince 04/2008 · owns 25% to 50%
- B•••••• C••••••• B••••• · Shareholdersince 07/1999 · owns 5% to 10%
- H•••• S••••• L•• · Vice Presidentsince 09/1989 · owns 5% to 10%
- J•••••• C••••••• W•••••• J• · Shareholdersince 07/1999 · owns 5% to 10%
- N••••••••• W•••••• J••• · Chief Compliance Officer, Registered Options Principal, Financial Operations Principalsince 10/2007 · owns less than 5%
- R•••••• K•••••• A•••••• · Shareholdersince 12/2009 · owns 5% to 10%
Related persons
Schedule D 7.A
- E••• G••••••• F•••••••• S••••••• LLCinvestment advisernRAUM $193M
Offices
Schedule D 1.F, the 25 largest
- Springfield, MA2 employees
- Bristol, CT1 employees
- Hudson, MA1 employees
- Farmington, CT1 employees
- Milton, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 661 to 781Jul 28, 2017 to Mar 19, 2018
- Corporate clients · unset to 5.0Jul 28, 2017 to Mar 19, 2018
- HNW clients · unset to 195.0Jul 28, 2017 to Mar 19, 2018
- Individual clients · unset to 557.0Jul 28, 2017 to Mar 19, 2018
- Pension plan clients · unset to 22.0Jul 28, 2017 to Mar 19, 2018
- Pooled vehicle clients · unset to 0.0Jul 28, 2017 to Mar 19, 2018
- Other offices · unset to 6.0Jul 28, 2017 to Mar 19, 2018
- Discretionary RAUM · $94.1M to $132MJul 28, 2017 to Mar 19, 2018
- HNW RAUM · unset to 161980310.0Jul 28, 2017 to Mar 19, 2018
- Individual RAUM · unset to 137769065.0Jul 28, 2017 to Mar 19, 2018
- Non-discretionary RAUM · $409M to $364MJul 28, 2017 to Mar 19, 2018
- Pension RAUM · unset to 174671483.0Jul 28, 2017 to Mar 19, 2018
- Pooled vehicle RAUM · unset to 0.0Jul 28, 2017 to Mar 19, 2018
- RAUM · $503M to $496MJul 28, 2017 to Mar 19, 2018
- Accounts · 645 to 661Mar 22, 2016 to Mar 29, 2017
- Advisory employees · 16 to 14Mar 22, 2016 to Mar 29, 2017
- BD registered reps · 17 to 16Mar 22, 2016 to Mar 29, 2017
- Employees · 17 to 16Mar 22, 2016 to Mar 29, 2017
- State-registered IARs · 17 to 14Mar 22, 2016 to Mar 29, 2017
- Discretionary RAUM · $82.3M to $94.1MMar 22, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $418M to $409MMar 22, 2016 to Mar 29, 2017
- RAUM · $500M to $503MMar 22, 2016 to Mar 29, 2017
- Accounts · 628 to 645Nov 18, 2015 to Mar 22, 2016
- Advisory employees · 11 to 16Nov 18, 2015 to Mar 22, 2016
- BD registered reps · 16 to 17Nov 18, 2015 to Mar 22, 2016
- Employees · 16 to 17Nov 18, 2015 to Mar 22, 2016
- State-registered IARs · 11 to 17Nov 18, 2015 to Mar 22, 2016
- Discretionary RAUM · $87.8M to $82.3MNov 18, 2015 to Mar 22, 2016
- Non-discretionary RAUM · $392M to $418MNov 18, 2015 to Mar 22, 2016
- RAUM · $479M to $500MNov 18, 2015 to Mar 22, 2016
- Accounts · 508 to 628Aug 18, 2014 to Mar 4, 2015
- Discretionary RAUM · $70.0M to $87.8MAug 18, 2014 to Mar 4, 2015
- Non-discretionary RAUM · $345M to $392MAug 18, 2014 to Mar 4, 2015
- RAUM · $415M to $479MAug 18, 2014 to Mar 4, 2015
- Accounts · 487 to 508Feb 27, 2014 to Mar 13, 2014
- Advisory employees · 13 to 11Feb 27, 2014 to Mar 13, 2014
- BD registered reps · 20 to 16Feb 27, 2014 to Mar 13, 2014
- Employees · 20 to 16Feb 27, 2014 to Mar 13, 2014
- State-registered IARs · 13 to 11Feb 27, 2014 to Mar 13, 2014
- Discretionary RAUM · $102M to $70.0MFeb 27, 2014 to Mar 13, 2014
Signals
No event on the tape.
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