DFX Intelligence

P••••• W•••••• 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••••• W•••••• L••

CRD 328459

BOSTON, MA

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Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Sep 28, 2023 to Mar 24, 2026
16 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=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $326M••• Locked
Discretionary RAUM: $284M
Private client RAUM: $293Mderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $40.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• M•••••• S•••••	n/a	BOSTON, MA	2	12	n/a	no
C•••••• B•••• C••••••	Certified Financial Planner	BOSTON, MA	2	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• C••••••• B••••	CHIEF COMPLIANCE OFFICER, CHIEF ADMINISTRATIVE OFFICER	Na	yes	11/2023	Nov 7, 2023	Dec 19, 2024
P••• W••••• M••••••••• L••	Owner	E	yes	09/2023	Sep 28, 2023	Dec 19, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	6	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	$326M	$262M	24.4%	n/a	n/a	10	7	1	0

Relationships

Registered with (8)

← C••••••••• B•••• R••Advisorregistration: current employment
Feb 19, 2026 to presentfactForm ADV
← G••••• T• F•••••Advisorregistration: current employment
Nov 4, 2025 to presentfactForm ADV
← N••••• A••• B•••••Advisorregistration: current employment
Jun 18, 2025 to presentfactForm ADV
← W•••••• A•••• N••••••

Dated events

Order

Occurred
19 Dec 2024
Regulatory AUM changed
••• Locked
Form ADV
$158M
Occurred
7 Nov 2023
Control person left
••• Locked
Form ADV
Occurred
7 Nov 2023
Control person joined
••• Locked
Form ADV
Occurred
28 Sep 2023
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 28, 2023
Last observed: Mar 24, 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.