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CRD 155733
BOSTON, 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 |
|---|---|---|---|---|---|---|
| D•••• J•• K•••••• | Certified Financial Planner|Chartered Financial Consultant | BOSTON, MA | MIAMI, FL | 15 | 40 | 1 | yes |
| J••••• B•••• M••••• | Chartered Financial Consultant | BOSTON, MA | 15 | 21 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••• D••••• J•• | MANAGING MEMBER / CHIEF EXECUTIVE OFFICER | E | yes | 12/2010 | May 21, 2026 | May 21, 2026 |
| S•••••• J•••• P••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2019 | May 21, 2026 | May 21, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Hingham | Ma | United States | 3 | yes |
| NORTH ANDOVER | Ma | United States | 3 | yes |
| Plymouth | Ma | United States | 3 | yes |
| Marshfield | Ma | United States | 2 | yes |
| Salem | Ma | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 2 | 0 | 3.3% | 0 | 0 | 0 | 8 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.4B | $3.0B | 13.7% | $1.9B | 21.0% | 61 | 60 | 36 | 36 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R••••••• I••••••••• A••••••• | 2 | Oct 24, 2025 | Jul 29, 2025 | BOSTON, MA | Team lift out | RIA to new firm | 3.4% |
| N•••••• A••••••• | 2 | Apr 1, 2021 | Apr 1, 2021 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| K••• W••••• P••••••• A••••••• | 3 | Jun 2, 2020 | Apr 29, 2020 | K•••VILLE, TN | Firm absorbed | RIA to RIA | 50.0% |
| B••••• G••••• A•••• M••••••••• | 3 | Dec 15, 2015 | Dec 11, 2015 |
| yes |
| W•••• J••••• B•••••• | Certified Financial Planner | WESTFORD, MA | BOSTON, MA | 15 | 36 | n/a | yes |
| G•••••• P••• M••••• | Certified Financial Planner | Yamouthport, MA | BOSTON, MA | 15 | 34 | 1 | yes |
| J••• M••••• F••••• | Certified Financial Planner | BOSTON, MA | FRANKLIN, MA | 15 | 30 | 1 | yes |
| J••• P••••• S••••• | Certified Financial Planner | BOSTON, MA | 15 | 27 | 1 | yes |
| T•••••• P•••• H•••••• | Certified Financial Planner|Chartered Financial Consultant | Westborough, MA | BOSTON, MA | 15 | 27 | n/a | yes |
| B•••• J•••••• G••••••• | Certified Financial Planner | BOSTON, MA | 15 | 25 | n/a | yes |
| M•••••• A•••• M••••• | n/a | BOSTON, MA | Yamouthport, MA | 15 | 27 | n/a | yes |
| P••••• J••• M••••• | n/a | BOSTON, MA | MELBOURNE, FL | 15 | 21 | 1 | yes |
| R••••• M••••• L•••••• | n/a | BOSTON, MA | Somerville, MA | 15 | 23 | 1 | yes |
| R••••• M•••••• T••••• | n/a | BOSTON, MA | HYANNIS, MA | 15 | 34 | 1 | yes |
| R•••••• B•••• A••••••• | n/a | WALPOLE, NH | BOSTON, MA | 14 | 19 | 1 | yes |
| T••••• O••• S•••••• | Certified Financial Planner | BOSTON, MA | YARMOUTH, ME | 13 | 30 | 1 | yes |
| D••••• E••••• P••••• | n/a | DANVERS, MA | BOSTON, MA | 13 | 24 | 2 | yes |
| M•••••• R•• S•••••• | n/a | LAKEWAY, TX | BOSTON, MA | 13 | 20 | 2 | yes |
| D••••• F•••••• M•••• | Certified Financial Planner | BOSTON, MA | 12 | 23 | 1 | yes |
| J••••• J•••• T••• | Chartered Financial Consultant | PROSPECT, CT | BOSTON, MA | 12 | 19 | 2 | yes |
| A••• B•••••• | n/a | NORTH ANDOVER, MA | BOSTON, MA | 12 | 18 | 2 | yes |
| J•••• R••• D••••• | Certified Financial Planner | MEDWAY, MA | BOSTON, MA | 12 | 21 | 3 | yes |
| D••••• A•••••• H••• | Certified Financial Planner | BOSTON, MA | 12 | 23 | n/a | yes |
| M•••••• K••••• | n/a | BOSTON, MA | 11 | 26 | 1 | yes |
| J•••• F• P••••••• | n/a | WHITMAN, MA | BOSTON, MA | NORWELL, MA | 11 | 21 | 4 | yes |
| J•••••••• S•••• J•••• | n/a | Yamouthport, MA | BOSTON, MA | 11 | 23 | 3 | yes |
| C••••••••• M•••••• S•••••• | Certified Financial Planner | MARSHFIELD, MA | BOSTON, MA | 11 | 26 | 7 | yes |
| yes |
| Walpole | Nh | United States | 2 | yes |
| Maryville | Tn | United States | 2 | yes |
| Lakeway | TX | United States | 2 | yes |
| Danvers | Ma | United States | 1 | yes |
| Falmouth | Ma | United States | 1 | yes |
| Franklin | Ma | United States | 1 | yes |
| Hyannis | Ma | United States | 1 | yes |
| Medway | Ma | United States | 1 | yes |
| Norwell | Ma | United States | 1 | yes |
| Somerville | Ma | United States | 1 | yes |
| Westborough | Ma | United States | 1 | yes |
| Westford | Ma | United States | 1 | yes |
| Yarmouth | Me | United States | 1 | yes |
| Hampton | Nh | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Jan 28, 2026 |
| $3.4B |
| $3.4B |
| 61 |
| 57 |
| 36 |
| n/a |
| n/a |
| 2024 | Apr 10, 2025 | $3.0B | $3.0B | 60 | 60 | 36 | n/a | n/a |
| 2023 | Jan 16, 2024 | $2.4B | $2.4B | 58 | 58 | 36 | n/a | n/a |
| 2022 | Jan 27, 2023 | $1.9B | $1.9B | 53 | 53 | 33 | n/a | n/a |
| 2021 | Feb 24, 2022 | $2.1B | $2.1B | 53 | 53 | 33 | n/a | n/a |
| 2020 | Mar 25, 2021 | $2.0B | $2.0B | 55 | 55 | 33 | n/a | n/a |
| 2019 | Mar 25, 2020 | $1.6B | $1.6B | 52 | 52 | 32 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.4B | $1.4B | 54 | 54 | 31 | n/a | n/a |
| 2017 | Mar 16, 2018 | $1.3B | $1.3B | 59 | 59 | 37 | n/a | n/a |
| 2016 | Mar 30, 2017 | $1.1B | $1.1B | 63 | 63 | n/a | n/a | n/a |
| 2015 | Mar 23, 2016 | $847M | $826M | 62 | 62 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $686M | $661M | 48 | 48 | n/a | n/a | n/a |
| 2013 | Mar 29, 2014 | $531M | $509M | 41 | 41 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $231M | $209M | 33 | 22 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $141M | $120M | n/a | n/a | n/a | n/a | n/a |
| NEWBURYPORT, MA |
| Team lift out |
| RIA to ibd |
| 4.5% |
| A•••• P•••••• W••••• A••••••• | 4 | Aug 31, 2016 | Sep 9, 2016 | BOSTON, MA | Team lift out | Other | 8.7% |
| B•••••, MA |
| Team lift out |
| Other |
| 4.8% |