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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SEC-registered adviser
B•••••••• A••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Sep 10, 2018 · 11 filings
SEC status approved since Oct 9, 2018
RAUM
$1.2B
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.2B as of Mar 20, 2026
Mar 7, 2019$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 7, 20190 then
Employees (5.A)1 as of Mar 20, 2026
Mar 7, 20191 then
Private funds: 6
RAUM +14% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- 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
- $595MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• I•••••••••no longer reported | Other Private Fund | $573M | 1 | Nov 27, 2018 |
| D•••••••• I•••••••••no longer reported | Other Private Fund | $528M | 1 | Nov 27, 2018 |
| H•• I•••••••••no longer reported | Other Private Fund | $495M | 1 | Nov 27, 2018 |
| I•••• I•••••••••no longer reported | Other Private Fund | $192M | 1 | Nov 27, 2018 |
| D•••• I•••••••••no longer reported | Other Private Fund | $183M | 1 | Nov 27, 2018 |
| H•••• I•••••••••no longer reported | Other Private Fund | $166M | 1 | Nov 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• T••••••• C••••• · Managing Member And Chief Compliance Officercontrolsince 09/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $1.0B to $1.2BMar 26, 2025 to Mar 20, 2026
- RAUM · $1.0B to $1.2BMar 26, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $763M to $1.0BMar 25, 2024 to Mar 26, 2025
- RAUM · $763M to $1.0BMar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $645M to $763MMar 27, 2023 to Mar 25, 2024
- RAUM · $645M to $763MMar 27, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $634M to $645MMar 29, 2022 to Mar 27, 2023
- RAUM · $634M to $645MMar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $323M to $634MMar 25, 2021 to Mar 29, 2022
- RAUM · $323M to $634MMar 25, 2021 to Mar 29, 2022
- Accounts · 1 to 2Mar 27, 2020 to Mar 25, 2021
- Pooled vehicle clients · 1.0 to unsetMar 27, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $385M to $323MMar 27, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · 384515486.0 to unsetMar 27, 2020 to Mar 25, 2021
- RAUM · $385M to $323MMar 27, 2020 to Mar 25, 2021
- Accounts · 6 to 1Mar 7, 2019 to Mar 27, 2020
- Advisory activities · 2 to 3Mar 7, 2019 to Mar 27, 2020
- Pooled vehicle clients · 6 to 1Mar 7, 2019 to Mar 27, 2020
- Private funds · 6 to unsetMar 7, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $2.1B to $385MMar 7, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $2.1B to $385MMar 7, 2019 to Mar 27, 2020
- RAUM · $2.1B to $385MMar 7, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $2.2B to $2.1BNov 27, 2018 to Mar 7, 2019
- Pooled vehicle RAUM · $2.2B to $2.1BNov 27, 2018 to Mar 7, 2019
- RAUM · $2.2B to $2.1BNov 27, 2018 to Mar 7, 2019
- Accounts · 0 to 6Sep 10, 2018 to Nov 27, 2018
- Pooled vehicle clients · unset to 6.0Sep 10, 2018 to Nov 27, 2018
- Private funds · unset to 6Sep 10, 2018 to Nov 27, 2018
- Non-discretionary RAUM · $0 to $2.2BSep 10, 2018 to Nov 27, 2018
- Pooled vehicle RAUM · unset to 2150837994.0Sep 10, 2018 to Nov 27, 2018
- RAUM · $0 to $2.2BSep 10, 2018 to Nov 27, 2018
- State-registered IARs · 1 to 0Sep 10, 2018 to Sep 10, 2018
Signals
4 dated events
- B•••••••• A••••••• L•• reported RAUM $1.0B, up 37% from $762.8M (2024-03-25 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- B•••••••• A••••••• L•• reported RAUM $634.2M, up 96% from $323.3M (2021-03-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- B•••••••• A••••••• L•• reported RAUM $384.5M, down 82% from $2.1B (2019-03-07 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- B•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 10, 2018 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-419-7117reportedpublic record, Form ADV, Mar 20, 2026
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
- Other 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