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
P•••••• W••••• S••••••••• L••
Latest filing Jun 26, 2020
First filing on the tape Aug 21, 2019 · 6 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Jun 26, 2020
Aug 21, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 26, 2020
Aug 21, 20192 then
Employees (5.A)3 as of Jun 26, 2020
Aug 21, 20193 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
- M•••••• G•••••• O••••• to I••••••••• A••••• I••••••••• M••••••••• L••Nov 6, 2020 · Other
Joined, latest
- M•••••• G•••••• O••••• from T•• P•••••• F•••••••• G••••• L••Oct 1, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• N•••••• M•••• · Chief Compliance Officer / Managing Membercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
- T•• P•••••• F•••••••• G••••• L••investment advisernRAUM $2.6B
Offices
Schedule D 1.F, the 25 largest
- Hingham, MA1 employees
What changed
consecutive filings, newest first
- HQ city · PRINCETON to unsetMar 25, 2020 to May 11, 2020
- HQ state · MA to unsetMar 25, 2020 to May 11, 2020
- Advisory employees · 2 to 1Sep 5, 2019 to Feb 19, 2020
- BD registered reps · 2 to 0Sep 5, 2019 to Feb 19, 2020
- Insurance-licensed employees · 2 to 0Sep 5, 2019 to Feb 19, 2020
- State-registered IARs · 2 to 1Sep 5, 2019 to Feb 19, 2020
- Other offices · 0 to 1Sep 5, 2019 to Feb 19, 2020
- Organization form · Limited Liability Partnership to Limited Liability CompanyAug 21, 2019 to Sep 5, 2019
Signals
3 dated events
- Michael David Odonnell (Managing Member) no longer on Schedule A of P•••••• W••••• S••••••••• L•• (listed 2020-03-25, absent 2020-05-11)May 11, 2020 · Control person left · inference
- Paul Michael Tashjian (Managing Member) no longer on Schedule A of P•••••• W••••• S••••••••• L•• (listed 2020-03-25, absent 2020-05-11)May 11, 2020 · Control person left · inference
- P•••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 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