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
F••••••••• R••••••••• S•••••••• L••
Latest filing Nov 6, 2024
First filing on the tape May 2, 2017 · 28 filings
RAUM
$138M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$138M as of Mar 19, 2024
Mar 29, 2019$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 19, 2024
Mar 29, 20194 then
Employees (5.A)2 as of Mar 19, 2024
Mar 29, 20194 then
Private funds: no history
RAUM -0.2% over the last fiscal year-6.1% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Nov 6, 2024; every figure names its basis
- RAUM per advisor
- $69.1MderivedRAUM 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
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$138M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- B••••• C•••••• D•••••• to G••••• R••••••••• P••••••• L••Sep 26, 2019 · Other
- M•••••• J••• R••••• to G••••• R••••••••• P••••••• L••Jan 23, 2019 · Other
Joined, latest
- B••••• C•••••• D•••••• from G••••• R••••••••• P••••••• L••Oct 23, 2018 · Other
- M•••••• J••• R••••• from L•• F•••••••• L••Mar 28, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• W••••••• R••••• · Ceocontrolsince 05/2017 · owns 75% or more
- G••••• A••• E•••••••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $138M to $138MSep 19, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $138M to $138MSep 19, 2023 to Mar 19, 2024
- RAUM · $138M to $138MSep 19, 2023 to Mar 19, 2024
- Other offices · 0 to 1Mar 31, 2023 to Sep 19, 2023
- Non-discretionary RAUM · $194M to $138MApr 27, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $194M to $138MApr 27, 2022 to Mar 31, 2023
- RAUM · $194M to $138MApr 27, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $167M to $194MJun 30, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $167M to $194MJun 30, 2021 to Mar 15, 2022
- RAUM · $167M to $194MJun 30, 2021 to Mar 15, 2022
- HQ city · CARLSBAD to unsetMar 1, 2021 to Jun 30, 2021
- HQ state · CA to unsetMar 1, 2021 to Jun 30, 2021
- Accounts · 45 to 25Sep 18, 2020 to Mar 1, 2021
- Pooled vehicle clients · 19 to 25Sep 18, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $101M to $167MSep 18, 2020 to Mar 1, 2021
- Pooled vehicle RAUM · $101M to $167MSep 18, 2020 to Mar 1, 2021
- RAUM · $101M to $167MSep 18, 2020 to Mar 1, 2021
- Accounts · 8 to 45May 27, 2020 to Sep 18, 2020
- Pooled vehicle clients · 16 to 19May 27, 2020 to Sep 18, 2020
- Non-discretionary RAUM · $52.0M to $101MMay 27, 2020 to Sep 18, 2020
- Pooled vehicle RAUM · $52.0M to $101MMay 27, 2020 to Sep 18, 2020
- RAUM · $52.0M to $101MMay 27, 2020 to Sep 18, 2020
- Accounts · 45 to 8Jan 17, 2020 to May 13, 2020
- Pension plan clients · 45.0 to unsetJan 17, 2020 to May 13, 2020
- Pooled vehicle clients · unset to 16.0Jan 17, 2020 to May 13, 2020
- Employees · 4 to 2Jan 17, 2020 to May 13, 2020
- State-registered IARs · 4 to 2Jan 17, 2020 to May 13, 2020
- Non-discretionary RAUM · $130M to $52.0MJan 17, 2020 to May 13, 2020
- Pension RAUM · 130000000.0 to unsetJan 17, 2020 to May 13, 2020
- Pooled vehicle RAUM · unset to 52000000.0Jan 17, 2020 to May 13, 2020
- RAUM · $130M to $52.0MJan 17, 2020 to May 13, 2020
- Related adviser · true to falseJan 17, 2020 to May 13, 2020
- Accounts · 290 to 45Dec 4, 2018 to Mar 29, 2019
- Advisory employees · 3 to 2Dec 4, 2018 to Mar 29, 2019
- Pension plan clients · 290 to 45Dec 4, 2018 to Mar 29, 2019
- Employees · 3 to 4Dec 4, 2018 to Mar 29, 2019
- State-registered IARs · 3 to 4Dec 4, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $102M to $130MDec 4, 2018 to Mar 29, 2019
- Pension RAUM · $102M to $130MDec 4, 2018 to Mar 29, 2019
- RAUM · $102M to $130MDec 4, 2018 to Mar 29, 2019
Signals
5 dated events
- James William Chetney (Chief Compliance Officer) no longer on Schedule A of F••••••••• R••••••••• S•••••••• L•• (listed 2022-03-15, absent 2022-04-27)Apr 27, 2022 · Control person left · inference
- Elizabeth Amy Glynn (Chief Compliance Officer) appeared on Schedule A of F••••••••• R••••••••• S•••••••• L••Apr 27, 2022 · Control person joined · fact
- James William Chetney (Chief Compliance Officer) appeared on Schedule A of F••••••••• R••••••••• S•••••••• L••Mar 1, 2021 · Control person joined · fact
- D•••• J•••••• K••••••••• (Chief Compliance Officer) no longer on Schedule A of F••••••••• R••••••••• S•••••••• L•• (listed 2020-09-18, absent 2021-03-01)Mar 1, 2021 · Control person left · inference
- F••••••••• R••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)May 2, 2017 · 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