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P••• O•• I••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Boston, Massachusetts

Former SEC-registered adviser, based in Boston, Massachusetts, reporting $62.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$62.1M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
69% of RAUM, $43.1M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 321725 · SEC 801-125795 · 11 filingsShow
CRD 321725SEC 801-125795First filing on the tape May 3, 2022, latest Sep 11, 2023IAPD
RAUM
$62.1M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
69%
$43.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.0M gross assets
History
11 filings and snapshots on the tape
RAUM$62.1M as of Sep 11, 2023
May 3, 2022$0 then
HNW client RAUM$43.1M as of Sep 11, 2023
Mar 20, 2023$43.1M then
State-registered IARs (5.B.3)1 as of Sep 11, 2023
May 3, 20221 then
Employees (5.A)5 as of Sep 11, 2023
May 3, 20223 then
Private funds1 as of Sep 11, 2023
Mar 13, 20231 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 11, 2023; every figure names its basis
RAUM per advisor
$62.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$14.4MderivedHNW RAUM over HNW clients
Average account
$12.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
13%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$43.1M, 3 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$43.1M69%
  • Charitable organizations$14.0M23%
  • Pooled investment vehicles$5.0M8.1%
Individual clients
0reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$43.1M for 3 clientsreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••• O•• E•••••••• L••Real Estate Fund$5.0M3Mar 13, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• P••••• W•••••• · Managing Membercontrol
        since 04/2022 · owns less than 5%
      • W•••••• J••• C•••• · Chief Compliance Officercontrol
        since 04/2022 · owns 50% to 75%
      • B••••••• P••••• W•••••• · Managing Membercontrol
        since 01/2023 · owns F of P••• O•• H•••••• C•• L••
      Entity owners
      • P••• O•• H•••••• C•• L•• · Member
        direct · 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
      Boston, Ma · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 4 to 3
        Sep 5, 2023 to Sep 11, 2023
      • Employees · 3 to 5
        Aug 1, 2023 to Sep 5, 2023
      • Accounts · 0 to 5
        Mar 13, 2023 to Mar 20, 2023
      • Advisory activities · 3 to 4
        Mar 13, 2023 to Mar 20, 2023
      • Charity clients · unset to 1.0
        Mar 13, 2023 to Mar 20, 2023
      • Corporate clients · unset to 0.0
        Mar 13, 2023 to Mar 20, 2023
      • HNW clients · unset to 3.0
        Mar 13, 2023 to Mar 20, 2023
      • Individual clients · unset to 0.0
        Mar 13, 2023 to Mar 20, 2023
      • Pension plan clients · unset to 0.0
        Mar 13, 2023 to Mar 20, 2023
      • Pooled vehicle clients · unset to 1.0
        Mar 13, 2023 to Mar 20, 2023
      • Assets in custody · unset to 43090382.0
        Mar 13, 2023 to Mar 20, 2023
      • Custody of client assets · false to true
        Mar 13, 2023 to Mar 20, 2023
      • Discretionary RAUM · $0 to $8.3M
        Mar 13, 2023 to Mar 20, 2023
      • HNW RAUM · unset to 43090382.0
        Mar 13, 2023 to Mar 20, 2023
      • Individual RAUM · unset to 0.0
        Mar 13, 2023 to Mar 20, 2023
      • Non-discretionary RAUM · $0 to $53.8M
        Mar 13, 2023 to Mar 20, 2023
      • Pension RAUM · unset to 0.0
        Mar 13, 2023 to Mar 20, 2023
      • Pooled vehicle RAUM · unset to 5000000.0
        Mar 13, 2023 to Mar 20, 2023
      • RAUM · $0 to $62.1M
        Mar 13, 2023 to Mar 20, 2023
      • Private funds · unset to 1
        Sep 1, 2022 to Mar 13, 2023
      Signals
      4 dated events
      • ••• Locked
        Aug 7, 2024 · Advisor changed firm · fact
      • ••• Locked
        Aug 7, 2024 · Advisor changed firm · fact
      • ••• Locked
        Aug 7, 2024 · Team lift-out · derived
      • ••• Locked
        May 3, 2022 · 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
      Across the graphs

      P••• O•• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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