DFX Intelligence

S•••••••• • C••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S•••••••• • C••••••• L••

CRD 109604

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Search this name across graphsid dfx:ria:922bafb3-273c-5443-2710-a935b21aaf36

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2012 to Mar 30, 2026
19 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: mixed wealth managerderivedprivate_client_share=0.48 fund_share=0.39 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $116M••• Locked
Discretionary RAUM: $116M
Private client RAUM: $55.8Mderived••• Locked
Private client share: 48%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $116Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• H••••••• W••••	n/a	WELLESLEY, MA	22	37	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• F•••• L•••••• P•••••••••	Other Private Fund	$46.7M	Mar 20, 2024	19	Mar 29, 2018	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••• W••••••• H•••••••	CHIEF COMPLIANCE OFFICER, MANAGER AND MEMBER	E	yes	01/1990	Feb 16, 2012	Mar 20, 2024

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	$116M	$126M	-8.0%	$107M	2.8%	1	1	0	0

Relationships

Advises (1)

→ S•••••••• F•••• L•••••• P•••••••••Private fundOther Private Fund, IA
Mar 29, 2018 to presentfactForm ADV

Registered with (1)

← W•••••• H••••••• W••••Advisorregistration: current employment
Jun 28, 2004 to presentfactForm ADV

Controls (1)

← W••••• W••••••• H•••••••OwnerCHIEF COMPLIANCE OFFICER, MANAGER AND MEMBER, ownership code E, individual
Feb 16, 2012 to Mar 20, 2024factForm ADV

Dated events

Occurred
Mar 1, 2019
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:922bafb3-273c-5443-2710-a935b21aaf36
First observed: Feb 16, 2012
Last observed: Mar 30, 2026 5 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.