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
N••••••• C•••••• L••
Latest filing Mar 18, 2025
First filing on the tape Mar 18, 2021 · 11 filings
SEC status approved since Apr 16, 2021
RAUM
$260M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$243M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$260M as of Mar 18, 2025
Mar 15, 2022$163M then
HNW client RAUM$229M as of Mar 18, 2025
Mar 15, 2022$116M then
State-registered IARs (5.B.3)4 as of Mar 18, 2025
Mar 15, 20224 then
Employees (5.A)4 as of Mar 18, 2025
Mar 15, 20224 then
Private funds: no history
RAUM +66% over the last fiscal year+17% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 18, 2025; every figure names its basis
- RAUM per advisor
- $65.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $572,615derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +66%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $121M, 103 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M88%
- Individuals$13.9M5.3%
- Charitable organizations$10.5M4.0%
- Pension and profit-sharing plans$6.4M2.5%
- Individual clients
- 67reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 454reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M for 103 clientsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- M•••••• R•••••• L••••• to B•••••• F••••• • S•••••• I••Jul 20, 2026 · RIA to RIA
- J•••••• M•••••• L•••••• to B•••••• F••••• • S•••••• I••Jul 20, 2026 · RIA to RIA
- M•••••• D••••••• M•••• to B•••••• F••••• • S•••••• I••May 13, 2025 · RIA to RIA
- A•••• M•••••• S•••••• to B•••••• F••••• • S•••••• I••May 13, 2025 · RIA to RIA
- J•••• M•••••• to W••••••••• T•••• A•••••••Jan 28, 2025 · RIA to RIA
- J••••••••• S••••••••• to M••••• G••••• A••••••• I•••Dec 12, 2024 · RIA to RIA
- R••••• H•••••• K••••• to M••••• G••••• A••••••• I•••May 7, 2024 · RIA to RIA
- P•••• J••••• M•••••• to F• L• P••••• I••••••••• M••••••••• C••Mar 19, 2020 · RIA to RIA
Joined, latest
- A•••• M•••••• S•••••• from S••••••••• I••••••••• A••••••• L••Nov 15, 2024 · Other
- R••••• H•••••• K••••• from P••••••• U••••• A•••••••• I•••Aug 22, 2023 · Other
- J••••••••• S••••••••• from E•••• F•••••••• S•••••••• I•••Jun 15, 2023 · RIA to RIA
- M•••••• R•••••• L••••• from L•• F•••••••• L••Jan 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••••• M•••••• L•••••• from P••••••• S••••••••• I•••Mar 15, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••••• F••••• • S•••••• I••Jul 20, 2026 · Westerly, Ri
- 2 left for B•••••• F••••• • S•••••• I••May 13, 2025 · Westerly, Ri
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J••••••• M•••••• · Partner, Chief Investment Officer And Chief Compliance Officercontrolsince 02/2018 · owns 25% to 50%
- M••••••• J••••• C••••••• · Partner And Chief Operating Officercontrolsince 01/2018 · owns 25% to 50%
- S••••••••• J••••••••• · Director Of Client Experiencecontrolsince 09/2022 · owns less than 5%
- L•••••• M••••••• R•••••• · Partnersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerly, Ri · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Longmeadow, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 308 to 454Feb 28, 2025 to Mar 18, 2025
- Advisory employees · 6 to 4Feb 28, 2025 to Mar 18, 2025
- Charity clients · unset to 5.0Feb 28, 2025 to Mar 18, 2025
- HNW clients · 69 to 114Feb 28, 2025 to Mar 18, 2025
- Individual clients · 85 to 67Feb 28, 2025 to Mar 18, 2025
- Assets in custody · $73.9M to $121MFeb 28, 2025 to Mar 18, 2025
- Employees · 6 to 4Feb 28, 2025 to Mar 18, 2025
- Financial planning clients · 11-25 to 1-10Feb 28, 2025 to Mar 18, 2025
- State-registered IARs · 6 to 4Feb 28, 2025 to Mar 18, 2025
- Discretionary RAUM · $153M to $257MFeb 28, 2025 to Mar 18, 2025
- HNW RAUM · $135M to $229MFeb 28, 2025 to Mar 18, 2025
- Individual RAUM · $11.0M to $13.9MFeb 28, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $4.0M to $2.8MFeb 28, 2025 to Mar 18, 2025
- Pension RAUM · $5.6M to $6.4MFeb 28, 2025 to Mar 18, 2025
- RAUM · $157M to $260MFeb 28, 2025 to Mar 18, 2025
- Accounts · 295 to 308Dec 6, 2023 to Feb 29, 2024
- Advisory employees · 5 to 6Dec 6, 2023 to Feb 29, 2024
- HNW clients · 76 to 69Dec 6, 2023 to Feb 29, 2024
- Individual clients · 44 to 85Dec 6, 2023 to Feb 29, 2024
- Pension plan clients · 19.0 to unsetDec 6, 2023 to Feb 29, 2024
- Assets in custody · $49.2M to $73.9MDec 6, 2023 to Feb 29, 2024
- Employees · 5 to 6Dec 6, 2023 to Feb 29, 2024
- Financial planning clients · 1-10 to 11-25Dec 6, 2023 to Feb 29, 2024
- State-registered IARs · 5 to 6Dec 6, 2023 to Feb 29, 2024
- Discretionary RAUM · $121M to $153MDec 6, 2023 to Feb 29, 2024
- HNW RAUM · $106M to $135MDec 6, 2023 to Feb 29, 2024
- Individual RAUM · $16.0M to $11.0MDec 6, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $48.9M to $4.0MDec 6, 2023 to Feb 29, 2024
- Pension RAUM · $45.6M to $5.6MDec 6, 2023 to Feb 29, 2024
- RAUM · $170M to $157MDec 6, 2023 to Feb 29, 2024
- Accounts · 264 to 295Sep 21, 2022 to Mar 30, 2023
- Advisory employees · 4 to 5Sep 21, 2022 to Mar 30, 2023
- HNW clients · 95 to 76Sep 21, 2022 to Mar 30, 2023
- Individual clients · 38 to 44Sep 21, 2022 to Mar 30, 2023
- Pension plan clients · 12 to 19Sep 21, 2022 to Mar 30, 2023
- Assets in custody · $9.9M to $49.2MSep 21, 2022 to Mar 30, 2023
- Employees · 4 to 5Sep 21, 2022 to Mar 30, 2023
- HQ city · PROVIDENCE to WESTERLYSep 21, 2022 to Mar 30, 2023
- State-registered IARs · 4 to 5Sep 21, 2022 to Mar 30, 2023
- Other offices · 2 to 1Sep 21, 2022 to Mar 30, 2023
Signals
13 dated events
- N••••••• C•••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $260.0M)Aug 3, 2026 · Left the SEC roster · derived
- M•••••• R•••••• L••••• left N••••••• C•••••• L•• for B•••••• F••••• • S•••••• I•• (registered 2025-05-23)Jul 20, 2026 · Advisor changed firm · fact
- J•••••• M•••••• L•••••• left N••••••• C•••••• L•• for B•••••• F••••• • S•••••• I•• (registered 2025-05-23)Jul 20, 2026 · Advisor changed firm · fact
- 2 advisors left N••••••• C•••••• L•• (Westerly, RI) for B•••••• F••••• • S•••••• I•• on the same dayJul 20, 2026 · Team lift-out · derived
- A•••• M•••••• S•••••• left N••••••• C•••••• L•• for B•••••• F••••• • S•••••• I•• (registered 2025-05-20)May 13, 2025 · Advisor changed firm · fact
- M•••••• D••••••• M•••• left N••••••• C•••••• L•• for B•••••• F••••• • S•••••• I•• (registered 2025-05-20)May 13, 2025 · Advisor changed firm · fact
- 2 advisors left N••••••• C•••••• L•• (Westerly, RI) for B•••••• F••••• • S•••••• I•• on the same dayMay 13, 2025 · Team lift-out · derived
- N••••••• C•••••• L•• reported RAUM $260.0M, up 66% from $156.8M (2025-02-28 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- J•••• M•••••• left N••••••• C•••••• L•• for W••••••••• T•••• A••••••• (registered 2025-02-26)Jan 28, 2025 · Advisor changed firm · fact
- J••••••••• S••••••••• left N••••••• C•••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-12-12)Dec 12, 2024 · Advisor changed firm · fact
- R••••• H•••••• K••••• left N••••••• C•••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-04-25)May 7, 2024 · Advisor changed firm · fact
- J••••••••• S••••••••• (Director Of Client Experience) appeared on Schedule A of N••••••• C•••••• L••Dec 6, 2023 · Control person joined · fact
- N••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 18, 2021 · 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