DFX Intelligence

R••••••••• I••••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R••••••••• I••••••••• G••••• L••

CRD 153679

LENOX, MA

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Search this name across graphsid dfx:ria:2dc3d2db-716c-fe26-edad-f796b94802c7

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2012 to Mar 12, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $726M••• Locked
Discretionary RAUM: $707M
Private client RAUM: $650Mderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $145Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• E••••• M•••••••••	n/a	LENOX, MA	16	37	1	no
C••••••••• G•••• K•••	n/a	LENOX, MA	16	35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J••••••• A•••	MANAGING MEMBER	E	yes	06/2016	Nov 30, 2016	Apr 29, 2024
F•••••• T•••••• M•••••	MANAGING MEMBER	F	yes	10/2016	Jun 26, 2012	Apr 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• W••••• P•••••••• L••	n/a	Bd affiliated wealth	$19B	N	yes	n/a
S•••••• W••••• A••••••• L••	n/a	Independent wealth	$5.6B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$726M	$636M	14.1%	$487M	14.3%	9	9	0	0

Relationships

Affiliated with (6)

← S•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••••• W••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••••• W••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 27, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2dc3d2db-716c-fe26-edad-f796b94802c7
First observed: Feb 21, 2012
Last observed: Mar 12, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.