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•••••• F•••••••• G••••• L••

Former SEC-registered adviserBurlington, MassachusettsCRD 304665SEC 801-116945IAPD
Latest filing Mar 22, 2023
First filing on the tape Jun 11, 2019 · 24 filings
RAUM
$363M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$363M as of Mar 17, 2023
Mar 27, 2020$281M then
HNW client RAUM$274M as of Mar 17, 2023
Mar 27, 2020$203M then
State-registered IARs (5.B.3)6 as of Mar 17, 2023
Mar 27, 20204 then
Employees (5.A)10 as of Mar 17, 2023
Mar 27, 20209 then
Private funds: no history
RAUM -3.9% over the last fiscal year+8.9% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
RAUM per advisor
$60.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$385,214derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$363MreportedItem 5.I
Custody
$80.7M, 106 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$274M76%
  • Individuals$86.6M24%
  • Pension and profit-sharing plans$1.9M0.5%
Individual clients
241reported
HNW clients
144reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
942reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$80.7M for 106 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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••• A••••••••• M••••• · Wealth Advisorcontrol
    since 01/2022 · owns 10% to 25%
  • H•••••• C••••••• R••• · Principalcontrol
    since 07/2019 · owns 25% to 50%
  • N•••••••• J•••• W•••••• · Principal And Chief Compliance Officercontrol
    since 07/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Burlington, Ma · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 910 to 942
    Dec 21, 2022 to Mar 17, 2023
  • HNW clients · 138 to 144
    Dec 21, 2022 to Mar 17, 2023
  • Individual clients · 232 to 241
    Dec 21, 2022 to Mar 17, 2023
  • Assets in custody · $26.0M to $80.7M
    Dec 21, 2022 to Mar 17, 2023
  • Employees · 11 to 10
    Dec 21, 2022 to Mar 17, 2023
  • Discretionary RAUM · $373M to $361M
    Dec 21, 2022 to Mar 17, 2023
  • HNW RAUM · $291M to $274M
    Dec 21, 2022 to Mar 17, 2023
  • Individual RAUM · $84.4M to $86.6M
    Dec 21, 2022 to Mar 17, 2023
  • Non-discretionary RAUM · $4.8M to $1.5M
    Dec 21, 2022 to Mar 17, 2023
  • Pension RAUM · $1.9M to $1.9M
    Dec 21, 2022 to Mar 17, 2023
  • RAUM · $378M to $363M
    Dec 21, 2022 to Mar 17, 2023
  • Accounts · 812 to 910
    Oct 7, 2021 to Mar 30, 2022
  • BD registered reps · 4 to 5
    Oct 7, 2021 to Mar 30, 2022
  • HNW clients · 120 to 138
    Oct 7, 2021 to Mar 30, 2022
  • Individual clients · 228 to 232
    Oct 7, 2021 to Mar 30, 2022
  • Employees · 10 to 11
    Oct 7, 2021 to Mar 30, 2022
  • Discretionary RAUM · $331M to $373M
    Oct 7, 2021 to Mar 30, 2022
  • HNW RAUM · $249M to $291M
    Oct 7, 2021 to Mar 30, 2022
  • Individual RAUM · $85.1M to $84.4M
    Oct 7, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $4.7M to $4.8M
    Oct 7, 2021 to Mar 30, 2022
  • Pension RAUM · $1.7M to $1.9M
    Oct 7, 2021 to Mar 30, 2022
  • RAUM · $336M to $378M
    Oct 7, 2021 to Mar 30, 2022
  • Advisory employees · 5 to 6
    Apr 13, 2021 to May 12, 2021
  • BD registered reps · 3 to 4
    Apr 13, 2021 to May 12, 2021
  • Employees · 9 to 10
    Apr 13, 2021 to May 12, 2021
  • State-registered IARs · 5 to 6
    Apr 13, 2021 to May 12, 2021
  • Accounts · 733 to 812
    Nov 16, 2020 to Mar 26, 2021
  • Advisory employees · 4 to 5
    Nov 16, 2020 to Mar 26, 2021
  • Advisory activities · 2 to 3
    Nov 16, 2020 to Mar 26, 2021
  • HNW clients · 109 to 120
    Nov 16, 2020 to Mar 26, 2021
  • Individual clients · 221 to 228
    Nov 16, 2020 to Mar 26, 2021
  • Assets in custody · $20.5M to $26.0M
    Nov 16, 2020 to Mar 26, 2021
  • Financial planning clients · 1-10 to 11-25
    Nov 16, 2020 to Mar 26, 2021
  • State-registered IARs · 4 to 5
    Nov 16, 2020 to Mar 26, 2021
  • Discretionary RAUM · $276M to $331M
    Nov 16, 2020 to Mar 26, 2021
  • HNW RAUM · $203M to $249M
    Nov 16, 2020 to Mar 26, 2021
  • Individual RAUM · $76.5M to $85.1M
    Nov 16, 2020 to Mar 26, 2021
  • Non-discretionary RAUM · $4.9M to $4.7M
    Nov 16, 2020 to Mar 26, 2021
  • Pension RAUM · $1.5M to $1.7M
    Nov 16, 2020 to Mar 26, 2021
  • RAUM · $281M to $336M
    Nov 16, 2020 to Mar 26, 2021
Signals
11 dated events
  • D•••• J••••• G••••• left A•••••• F•••••••• G••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2023-09-25)
    Sep 26, 2023 · Advisor changed firm · fact
  • B•••••• J••• N••••••• left A•••••• F•••••••• G••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2023-09-25)
    Sep 26, 2023 · Advisor changed firm · fact
  • A••••••••• M••••• N••••••• left A•••••• F•••••••• G••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2023-09-25)
    Sep 26, 2023 · Advisor changed firm · fact
  • A•••••• F•••••••• G••••• L••'s advisors moved to S•••••• F•••••••• G••••• L••••• (Burlington, MA): 4 of 4 registered, on the same day
    Sep 26, 2023 · Firm absorbed (people side) · derived
  • C•••••• R••• H••••• left A•••••• F•••••••• G••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2023-09-25)
    Sep 26, 2023 · Advisor changed firm · fact
  • Morgan Alexandria Dunn (Wealth Advisor) appeared on Schedule A of A•••••• F•••••••• G••••• L••
    Dec 21, 2022 · Control person joined · fact
  • P•••••• L••••• G••••• left A•••••• F•••••••• G••••• L•• for V••••• C•••••• P••••••• (registered 2022-08-09)
    Mar 17, 2022 · Advisor changed firm · fact
  • Edward Christopher Winn (Managing Member And Chief Compliance Officer) no longer on Schedule A of A•••••• F•••••••• G••••• L•• (listed 2019-06-11, absent 2019-07-01)
    Jul 1, 2019 · Control person left · inference
  • William J••• N••••••• (Principal And Chief Compliance Officer) appeared on Schedule A of A•••••• F•••••••• G••••• L••
    Jul 1, 2019 · Control person joined · fact
  • Rose Cynthia Haddad (Principal) appeared on Schedule A of A•••••• F•••••••• G••••• L••
    Jul 1, 2019 · Control person joined · fact
  • S••• L•• filed its initial SEC registration (Form ADV)
    Jun 11, 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