DFX Intelligence

A••••••• P•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 10b 100b

A••••••• P•••••••• I•••

CRD 110049

BOSTON, MA

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Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Mar 23, 2026
39 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: other adviserderived••• Locked
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $13B
Private client RAUM: $2.2Bderived••• Locked
Private client share: 18%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 31
RAUM per advisor: $405Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N•••• H••••• P••••	n/a	BOSTON, MA	8	27	1	no
J•••• L••••••• B••••••	Chartered Financial Analyst	BOSTON, MA	8	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••••• C•••••••	TRUSTEE, A••••••• P••••••• B••••••• T••••	F	yes	08/2001	Mar 30, 2012	Aug 15, 2024
C••••••••• D••••••• C•••••••	PRESIDENT, CEO, DIRECTOR	Na	yes	10/1998	Mar 30, 2012	Aug 15, 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	1	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	$13B	$13B	-6.7%	$12B	1.1%	59	61	0	0

Relationships

Registered with (31)

← M•••••• C••••••Advisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← I•• W••••Advisorregistration: current employment
Apr 16, 2026 to presentfactForm ADV
← J•••• R•••• C•••Advisorregistration: current employment
Mar 16, 2026 to presentfactForm ADV
← T•••••• D••••••Advisor

Dated events

Order

Occurred
8 Mar 2023
Control person joined
••• Locked
Form ADV
Occurred
8 Mar 2023
Control person left
••• Locked
Form ADV
Occurred
13 Apr 2021
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 23, 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• N••• S•••••••••	Certified Financial Planner	BOSTON, MA	7	14	1	no
H••• J• J••••••	n/a	BOSTON, MA	6	43	n/a	no
J•••• M•••••• O•••••	n/a	BOSTON, MA	6	6	n/a	no
J••••••• H•••	Certified Financial Planner	BOSTON, MA	5	10	n/a	no
R••• T••••	n/a	BOSTON, MA	4	16	n/a	no
J•••• C•••••• M•••••	n/a	BOSTON, MA	4	27	n/a	no
G•••••• L••••	n/a	BOSTON, MA	3	29	n/a	no
S•••• M•••• B••••••	n/a	BOSTON, MA	3	11	1	no
V•••••• M••• C•••••••	n/a	BOSTON, MA	3	20	3	no
T••••• W•••••• H•••••••	Chartered Financial Analyst	BOSTON, MA	2	35	3	no
N••••• W•••• H•••••	Chartered Financial Analyst	BOSTON, MA	1	14	n/a	no
O••• B•••••	Chartered Financial Analyst	BOSTON, MA	1	19	n/a	no
A••••• P•••••••	Chartered Financial Analyst	BOSTON, MA	1	14	n/a	no
J••• T•••••	n/a	BOSTON, MA	1	11	n/a	no
D•••• M•••••••	n/a	BOSTON, MA	1	13	n/a	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$7.3B	$7.3B	45	20	n/a	n/a	n/a
2014	Mar 20, 2015	$6.6B	$6.6B	42	18	n/a	n/a	n/a
2013	Mar 10, 2014	$6.1B	$6.1B	37	18	n/a	n/a	n/a
2012	Mar 27, 2013	$5.4B	$5.4B	35	20	n/a	n/a	n/a
2011	Mar 30, 2012	$4.9B	$4.9B	n/a	n/a	n/a	n/a	n/a