DFX Intelligence

P•••••••• A••••••• 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

P•••••••• A••••••• G••••• L••

CRD 128600

WESTFORD, MA

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Search this name across graphsid dfx:ria:4a7854cb-4043-5a49-6745-07df0672c02a

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Jul 29, 2026
33 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $397M••• Locked
Discretionary RAUM: $397M
Private client RAUM: $396Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $132Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• A•••• C••••••••	n/a	WESTFORD, MA \| NORTH CHATHAM, MA	28	28	n/a	no
K••••• L••• B••••••	Certified Financial Planner	WESTFORD, MA	9	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••• A••••	Trustee	E	yes	09/2019	Mar 27, 2012	Nov 7, 2024
C••••••••• D••••• A••••	MANAGING MEMBER/OWNER/PRINCIPAL	Na	yes	01/1998	Mar 27, 2012	Nov 7, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	$397M	$324M	22.6%	$261M	15.0%	4	4	1	1

Relationships

Registered with (5)

← T•••• B•••• D•••••Advisorregistration: current employment
Sep 7, 2022 to presentfactForm ADV
← K••••• L••• B••••••Advisorregistration: current employment
Jul 25, 2017 to presentfactForm ADV
← D•••• A•••• C••••••••Advisorregistration: current employment
Jun 9, 1998 to presentfactForm ADV
← KENNETH B•••• HOYT

Dated events

Occurred
May 30, 2024
Control person joined
Bruce Tyler Dostie (Financial Advisor/Shareholder) appeared on Schedule A of P•••••••• A••••••• G••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a7854cb-4043-5a49-6745-07df0672c02a
First observed: Mar 27, 2012
Last observed: Jul 29, 2026 55 days 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.