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CRD 163986
WALTHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C••••••••• S•••••• D•••••••• | Certified Financial Planner | WALTHAM, MA | 14 | 45 | 3 | no |
| R•••••• K•••• S••••••• | Certified Financial Planner|Chartered Financial Analyst | Norristown, PA | WALTHAM, MA | 9 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••• T•••••• P•••••• | MANAGING PARTNER | Na | yes | 12/2021 | Mar 18, 2026 | Mar 18, 2026 |
| F••••••• D•••••• E••••• | CHIEF INVESTMENT OFFICER | Na | yes | 10/2022 | Mar 18, 2026 | Mar 18, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 5.9% | 0 | 0 | 0 | 9 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.3B | n/a | n/a | $621M | 26.6% | 26 | n/a | 6 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T•••••••• F•••••••• P••••••• | 2 | May 8, 2023 | Sep 25, 2023 | WALTHAM, MA | Team lift out | RIA to state RIA | 28.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•••••••• N••••••••• I••• | 3 | Oct 8, 2024 | Nov 5, 2024 | LITTLETON, MA | Firm absorbed | RIA to RIA | 100.0% |
| no |
| J••• M•••••• Y•••••• | n/a | WALTHAM, MA | 4 | 14 | n/a | no |
| T••••• P•••••• D•••••• | n/a | WALTHAM, MA | 4 | 12 | 1 | no |
| B•••• W• B•••• | Certified Financial Planner | WALTHAM, MA | 4 | 28 | 2 | no |
| D••••• E••••• F•••••• | n/a | WALTHAM, MA | 3 | 33 | n/a | no |
| C••••••• P•••••• S•••••• | Certified Financial Planner | WALTHAM, MA | 3 | 23 | 1 | no |
| T•••••• R••••• B•••• | n/a | Boise, ID | WALTHAM, MA | 2 | 28 | 4 | no |
| C•••••• G••• | Certified Financial Planner | WALTHAM, MA | 2 | 10 | 4 | no |
| R••••• E••••• W••••• | n/a | WALTHAM, MA | 2 | 38 | 7 | no |
| D••••• J•• T•••• | n/a | WALTHAM, MA | 1 | 27 | 2 | no |
| C••••••••• M••• T••••• | Certified Financial Planner | MANCHESTER, NH | WALTHAM, MA | 1 | 19 | 2 | no |
| C••••••• A•• J•••••• | n/a | WALTHAM, MA | Bolton, MA | 1 | 18 | 3 | no |
| D•••• C•••• H•••••• | Certified Financial Planner|Chartered Financial Analyst | WALTHAM, MA | 1 | 32 | 1 | no |
| S•••••• W•••• B•••••• | Chartered Financial Analyst | WALTHAM, MA | 1 | 33 | 2 | no |
| J••••• B•••••• | n/a | WALTHAM, MA | Woodstock, VT | 0 | 53 | n/a | no |
| C••••••••• T••••• A•••• | Certified Financial Planner | WALTHAM, MA | 0 | 13 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 09/2025 |
| Mar 18, 2026 |
| Mar 18, 2026 |
| M••••• H•••••• L•• | PARENT COMPANY | E | yes | 12/2021 | Mar 18, 2026 | Mar 18, 2026 |
| W•••••• J•••• T• | CHIEF OPERATING OFFICER | Na | yes | 08/2024 | Mar 18, 2026 | Mar 18, 2026 |
| Y••••••• J•••• M•••••• | CHIEF EXECUTIVE OFFICER | Na | yes | 12/2021 | Mar 18, 2026 | Mar 18, 2026 |
| Mar 18, 2026 |
| $1.3B |
| $1.2B |
| 26 |
| 16 |
| 6 |
| n/a |
| n/a |
| 2023 | Mar 19, 2024 | $639M | $622M | 15 | 10 | 0 | n/a | n/a |
| 2022 | Mar 27, 2023 | $621M | $619M | 13 | 8 | 0 | n/a | n/a |
| 2021 | Mar 24, 2022 | $748M | $746M | 11 | 7 | 0 | n/a | n/a |
| 2020 | Mar 15, 2021 | $661M | $647M | 9 | 5 | 0 | n/a | n/a |
| 2019 | Mar 18, 2020 | $613M | $600M | 8 | 5 | 0 | n/a | n/a |
| 2018 | Mar 26, 2019 | $511M | $499M | 8 | 5 | 0 | n/a | n/a |
| 2017 | Mar 29, 2018 | $530M | $517M | 8 | 5 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $495M | $461M | 6 | 4 | n/a | n/a | n/a |
| 2015 | Mar 28, 2016 | $469M | $435M | 8 | 3 | n/a | n/a | n/a |
| 2014 | Mar 18, 2015 | $471M | $464M | 7 | 3 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $442M | $438M | 7 | 3 | n/a | n/a | n/a |
| 2012 | Feb 20, 2013 | $383M | $383M | 6 | 3 | n/a | n/a | n/a |