DFX Intelligence

M•• F••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

M•• F••••••••

M•••••, S•••• AND ASSOCIATES LLC, CRD 107768

BRAINTREE, MA

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Search this name across graphsid dfx:ria:c32296c3-91a2-7a1c-3c9c-c7f59200124c

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: Feb 28, 2012 to Jun 18, 2026
45 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $176Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• E••• S••••	Certified Financial Planner	BRAINTREE, MA	15	39	2	no
P••• M• M•••••	Certified Financial Planner	BRAINTREE, MA	15	37	2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• P•••• M•	FINANCIAL ADVISOR, MANAGING DIRECTOR	C	yes	05/2011	Jun 18, 2026	Jun 18, 2026
S••••• R••••••• E•••	FINANCIAL ADVISOR, MANAGING DIRECTOR AND CCO	C	yes	06/2011	Jun 18, 2026	Jun 18, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sandwich	Ma	United States	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	$1.4B	$1.2B	20.2%	$870M	17.3%	19	19	1	1

Relationships

Owns (2)

← Z••••••••• R•••• A•••OwnerFINANCIAL ADVISOR, PARTNER, ownership code A, individual
Jun 18, 2026 to presentfactForm ADV
← C••••••••• M••••••• P•••OwnerFINANCIAL ADVISOR, MANAGING PARTNER, ownership code B, individual
Jun 18, 2026 to presentfactForm ADV

Controls (2)

← S••••• R••••••• E•••OwnerFINANCIAL ADVISOR, MANAGING DIRECTOR AND CCO, ownership code C, individual
Jun 18, 2026 to presentfactForm ADV
← M•••••• P•••• M•OwnerFINANCIAL ADVISOR, MANAGING DIRECTOR, ownership code C, individual

Dated events

Occurred
Mar 11, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$147M
Occurred
Mar 19, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$189M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c32296c3-91a2-7a1c-3c9c-c7f59200124c
First observed: Feb 28, 2012
Last observed: Jun 18, 2026 3 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.