DFX Intelligence

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R••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· Boston, Massachusetts

Former SEC-registered adviser, based in Boston, Massachusetts, reporting $27.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2020-05-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $27.3M
RAUM change, 1 year: -94%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2020-05-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 May 2020, RAUM $454M to $27.3M (-94.0%) on the Form ADV filed 12 May 2020.

Every filed figure, and the identifiersCRD 290914 · SEC 801-112343 · 5 filingsShow

CRD 290914SEC 801-112343First filing on the tape Dec 21, 2017, latest May 12, 2020IAPD

RAUM

$27.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$27.3M gross assets

History

5 filings and snapshots on the tape

RAUM -94% over the last fiscal year · the tape starts Dec 21, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$27.3M as of May 12, 2020

Mar 26, 2019$454M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 12, 2020

Mar 26, 20190 then

Employees (5.A)10 as of May 12, 2020

Mar 26, 201910 then

Private funds3 as of May 12, 2020

Mar 26, 20193 then

RAUM -94% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of May 12, 2020; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $9.1MderivedRAUM 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: -94%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: $11.9M, 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$27.3M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $11.9M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R••••••• E•••••••• F•••• L••	Real Estate Fund	$16.9M	2	Dec 21, 2017
R••••••• A••••••••• H•••••• P••••••••• F••• I••• L••	Real Estate Fund	$10.3M	3	Mar 26, 2019
R••••••• A••••••••• H•••••• P••••••••• F••• I• L••	Real Estate Fund	$65,410	5	Dec 21, 2017

Owners and control persons

Schedule A and B, latest filing

C•••••••• S••••••• G••••• · Investment Committee Officercontrol
since 02/2007 · owns less than 5%
C••••••••• V••••••• J•••• · Ceocontrol
since 02/2007 · owns less than 5%
K•••••• N••••• T••••• · Investment Committee Officercontrol
since 01/2010 · owns less than 5%
W••••• N••••••••• B•••• · Cco/ Director Of Financecontrol
since 09/2015 · owns less than 5%

Entity owners

M•••••• M•••••••• I••••••••• A••••••• L•• · Managing Member
direct · owns 75% or more
C•••••• G••••••• •••••••• L••• · Shareholder
indirect · owns 75% or more of C•••••• G••••••• A•••••• I•••
C•••••• G••••••• A•••••• I••• · Shareholder
indirect · owns 75% or more of C• ••••••• I•••
C• ••••••• I••• · Shareholder
indirect · owns 75% or more of M•••••• R••••• C•••••••••
M•••••• M•••••••• R••••• G•••• L•• · Managing Member
indirect · owns 75% or more of M•••••• M•••••••• I••••••••• A••••••• L••

All 11 entity owners

M•••••• R••••• C••••••••• · Managing Member
indirect · owns 75% or more of M•••••• R••••• L••
M•••••• R••••• L•• · Managing Member
indirect · owns 75% or more of M•••••• M•••••••• R••••• G•••• L••
N••••••• S••• T••••••••• L•• · Trustee
indirect · owns F of T•• M••• L••• T••••
N••••••• S••• T••••••••• L•• · Trustee
indirect · owns F of T•• P••• S••••• T••••
T•• M••• L••• T•••• · Shareholder
indirect · owns 25% to 50% of C•••••• G••••••• •••••••• L•••
T•• P••• S••••• T•••• · Shareholder
indirect · owns 25% to 50% of C•••••• G••••••• •••••••• L•••

Related persons

Schedule D 7.A

M•••••• M•••••••• L•••••• I•••
investment companyn
M•••••• M•••••••• P••••••• I••••••••• L••
pooled vehicle sponsorn
M•••••• M•••••••• R••• E••••• S••••••• L••
investment companyn
M•••••• M•••••••• R••• E••••• S•••••••• I•••
investment companyn
R••••••• R••••• P•••••••• L••
investment companyn

All 6 related persons

R••••••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $353M to $11.9M
Aug 12, 2019 to May 12, 2020
Discretionary RAUM · $454M to $27.3M
Aug 12, 2019 to May 12, 2020
Pooled vehicle RAUM · $454M to $27.3M
Aug 12, 2019 to May 12, 2020
RAUM · $454M to $27.3M
Aug 12, 2019 to May 12, 2020
Accounts · 2 to 3
Jan 22, 2018 to Mar 26, 2019

Full history · 11 changes

Pooled vehicle clients · 2 to 3
Jan 22, 2018 to Mar 26, 2019
Assets in custody · $318M to $353M
Jan 22, 2018 to Mar 26, 2019
Private funds · 2 to 3
Jan 22, 2018 to Mar 26, 2019
Discretionary RAUM · $383M to $454M
Jan 22, 2018 to Mar 26, 2019
Pooled vehicle RAUM · $383M to $454M
Jan 22, 2018 to Mar 26, 2019
RAUM · $383M to $454M
Jan 22, 2018 to Mar 26, 2019

Signals

3 dated events

••• Locked
May 12, 2020 · RAUM change · derived
••• Locked
Aug 12, 2019 · Control person left · inference
••• Locked
Dec 21, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

R••••••• I••••••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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