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••••••••• P•••••••• I•••
Latest filing Aug 28, 2025
First filing on the tape Feb 26, 2019 · 14 filings
SEC status approved since Mar 28, 2019
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$154M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$207M as of Aug 28, 2025
Mar 26, 2020$213M then
HNW client RAUM$143M as of Aug 28, 2025
Mar 26, 2020$83.7M then
State-registered IARs (5.B.3)2 as of Aug 28, 2025
Mar 26, 20201 then
Employees (5.A)4 as of Aug 28, 2025
Mar 26, 20203 then
Private funds: no history
RAUM +6.8% over the last fiscal year+6.6% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Aug 28, 2025; every figure names its basis
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $82.6M, 16 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M69%
- Pension and profit-sharing plans$25.6M12%
- Corporations and businesses$22.2M11%
- Individuals$10.5M5.1%
- Charitable organizations$5.0M2.4%
- Individual clients
- 21reported
- HNW clients
- 30reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 118reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.6M for 16 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- D••••• A•••• C••••• to P••• S•••• A•••• M••••••••• L••Oct 28, 2025 · RIA to RIA
- L•••• M•• to P••• S•••• A•••• M••••••••• L••Oct 28, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••• S•••• A•••• M••••••••• L••Oct 28, 2025 · Beverly, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• N•••• C• · Presidentcontrolsince 09/2024 · owns less than 5%
- M••• L•••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- L••••••••• N•••• C• · Personal Representative Of E••••• Of D•••• W L•••••controlsince 09/2024 · owns F of E••••• O• D•••• W• L•••••
Entity owners
- E••••• O• D•••• W• L••••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Beverly, Ma · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueApr 29, 2025 to Aug 28, 2025
- Accounts · 117 to 118Sep 13, 2024 to Apr 29, 2025
- Assets in custody · $71.1M to $82.6MSep 13, 2024 to Apr 29, 2025
- Employees · 3 to 4Sep 13, 2024 to Apr 29, 2025
- Financial planning clients · unset to Sep 13, 2024 to Apr 29, 2025
- Discretionary RAUM · $193M to $207MSep 13, 2024 to Apr 29, 2025
- HNW RAUM · $132M to $143MSep 13, 2024 to Apr 29, 2025
- Individual RAUM · $10.6M to $10.5MSep 13, 2024 to Apr 29, 2025
- Pension RAUM · $26.5M to $25.6MSep 13, 2024 to Apr 29, 2025
- RAUM · $193M to $207MSep 13, 2024 to Apr 29, 2025
- State-registered IARs · 1 to 2Apr 9, 2024 to Sep 5, 2024
- HNW clients · 24 to 30Mar 21, 2023 to Mar 27, 2024
- Individual clients · 27 to 21Mar 21, 2023 to Mar 27, 2024
- Assets in custody · $33.7M to $71.1MMar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $135M to $193MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $87.1M to $132MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $11.3M to $10.6MMar 21, 2023 to Mar 27, 2024
- Pension RAUM · $19.5M to $26.5MMar 21, 2023 to Mar 27, 2024
- RAUM · $135M to $193MMar 21, 2023 to Mar 27, 2024
- Accounts · 107 to 117Mar 30, 2022 to Mar 21, 2023
- HNW clients · 26 to 24Mar 30, 2022 to Mar 21, 2023
- Individual clients · 21 to 27Mar 30, 2022 to Mar 21, 2023
- Assets in custody · $33.4M to $33.7MMar 30, 2022 to Mar 21, 2023
- Employees · 4 to 3Mar 30, 2022 to Mar 21, 2023
- Discretionary RAUM · $170M to $135MMar 30, 2022 to Mar 21, 2023
- HNW RAUM · $115M to $87.1MMar 30, 2022 to Mar 21, 2023
- Individual RAUM · $11.2M to $11.3MMar 30, 2022 to Mar 21, 2023
- Pension RAUM · $23.3M to $19.5MMar 30, 2022 to Mar 21, 2023
- RAUM · $170M to $135MMar 30, 2022 to Mar 21, 2023
- Accounts · 127 to 107Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 1 to 2Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 4 to 3Mar 30, 2021 to Mar 30, 2022
- Charity clients · 4 to 1Mar 30, 2021 to Mar 30, 2022
- Corporate clients · 6 to 4Mar 30, 2021 to Mar 30, 2022
- HNW clients · 36 to 26Mar 30, 2021 to Mar 30, 2022
- Individual clients · 30 to 21Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4.0 to unsetMar 30, 2021 to Mar 30, 2022
- Assets in custody · $40.2M to $33.4MMar 30, 2021 to Mar 30, 2022
- Employees · 3 to 4Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $132M to $170MMar 30, 2021 to Mar 30, 2022
Signals
8 dated events
- A••••••• I••••••••• P•••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $206.6M)Dec 20, 2025 · Left the SEC roster · derived
- L•••• M•• left A••••••• I••••••••• P•••••••• I••• for P••• S•••• A•••• M••••••••• L•• (registered 2025-08-19)Oct 28, 2025 · Advisor changed firm · fact
- D••••• A•••• C••••• left A••••••• I••••••••• P•••••••• I••• for P••• S•••• A•••• M••••••••• L•• (registered 2025-08-06)Oct 28, 2025 · Advisor changed firm · fact
- 2 advisors left A••••••• I••••••••• P•••••••• I••• (Beverly, MA) for P••• S•••• A•••• M••••••••• L•• on the same dayOct 28, 2025 · Team lift-out · derived
- Nancy C Littlehale (President) appeared on Schedule A of A••••••• I••••••••• P•••••••• I•••Sep 13, 2024 · Control person joined · fact
- L•••• M•• (Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• P•••••••• I•••Sep 5, 2024 · Control person joined · fact
- Wayne David Lemons (President And Chief Compliance Officer) no longer on Schedule A of A••••••• I••••••••• P•••••••• I••• (listed 2024-04-09, absent 2024-09-05)Sep 5, 2024 · Control person left · inference
- A••••••• P••••••• filed its initial SEC registration (Form ADV)Feb 26, 2019 · 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