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

A•• I••••••••• M••••••••• L••

Former SEC-registered adviserNeedham, MassachusettsCRD 281079SEC 801-108107IAPD
Latest filing Apr 12, 2019
First filing on the tape Aug 28, 2015 · 16 filings
RAUM
$490,000
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$490,000 as of Mar 28, 2019
Mar 29, 2017$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2019
Mar 29, 20172 then
Employees (5.A)1 as of Mar 28, 2019
Mar 29, 20173 then
Private funds: no history
RAUM -90% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Apr 12, 2019; every figure names its basis
RAUM per advisor
$490,000derivedRAUM 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
$490,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-90%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisersreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$490,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• T••••••• W•••••• · Chief Compliance Officer And Managing Principalcontrol
    since 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Sep 4, 2018 to Mar 28, 2019
  • Employees · 2 to 1
    Sep 4, 2018 to Mar 28, 2019
  • Discretionary RAUM · $13.0M to $490,000
    Sep 4, 2018 to Mar 28, 2019
  • RAUM · $13.0M to $490,000
    Sep 4, 2018 to Mar 28, 2019
  • BD registered reps · 2 to 1
    Apr 13, 2018 to Sep 4, 2018
  • State-registered IARs · 2 to 1
    Apr 13, 2018 to Sep 4, 2018
  • Discretionary RAUM · $5.0M to $13.0M
    Apr 13, 2018 to Sep 4, 2018
  • RAUM · $5.0M to $13.0M
    Apr 13, 2018 to Sep 4, 2018
  • Advisory activities · 3 to 2
    Mar 29, 2017 to Mar 30, 2018
  • Employees · 3 to 2
    Mar 29, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Mar 29, 2017 to Mar 30, 2018
  • BD registered reps · 1 to 2
    Feb 7, 2017 to Mar 29, 2017
  • BD registered reps · 2 to 1
    Nov 4, 2016 to Nov 29, 2016
  • Insurance-licensed employees · 2 to 0
    Nov 4, 2016 to Nov 29, 2016
  • Accounts · unset to 1.0
    Sep 27, 2016 to Nov 4, 2016
  • Advisory activities · 2 to 3
    Sep 27, 2016 to Nov 4, 2016
  • Discretionary RAUM · unset to 5000000.0
    Sep 27, 2016 to Nov 4, 2016
  • Non-discretionary RAUM · unset to 0.0
    Sep 27, 2016 to Nov 4, 2016
  • RAUM · unset to 5000000.0
    Sep 27, 2016 to Nov 4, 2016
  • Accounts · 0.0 to unset
    Sep 3, 2015 to Jan 5, 2016
  • Discretionary RAUM · 0.0 to unset
    Sep 3, 2015 to Jan 5, 2016
  • Non-discretionary RAUM · 0.0 to unset
    Sep 3, 2015 to Jan 5, 2016
  • RAUM · 0.0 to unset
    Sep 3, 2015 to Jan 5, 2016
Signals
1 dated events
  • A•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 28, 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