DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

S•••• F•••••••• L••

CRD 169196

WALTHAM, MA

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Search this name across graphsid dfx:ria:f2713cdb-5071-cfb9-73c9-48b6f98cb850

Data as of Feb 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Oct 25, 2013 to Feb 16, 2026
52 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $44.7M••• Locked
Discretionary RAUM: $44.7M
Private client RAUM: $44.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $7.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• M•••••• M••••	n/a	WALTHAM, MA	12	22	3	no
S•••••• E•••••••• K•••••••	n/a	WALTHAM, MA	12	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••••• B•	Member	B	yes	09/2013	Oct 25, 2013	Jan 18, 2024
B••••••••• D•••••••• N••	MEMBER OF THE BOARD	C	yes	09/2013	Oct 25, 2013	Jan 18, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 16, 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
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	$44.7M	$35.9M	24.3%	$28.4M	16.3%	22	18	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• D••••••• L••	5	Dec 31, 2019	Nov 12, 2013	WALTHAM, MA	Firm absorbed	Other	100.0%

Relationships

Registered with (7)

← B•••• R•••••• H•••••••Advisorregistration: current employment
Aug 21, 2019 to presentfactForm ADV
← C••••••••• M•••••• M••••Advisorregistration: current employment
Nov 12, 2013 to presentfactForm ADV
← S•••••• E•••••••• K•••••••Advisorregistration: current employment
Nov 12, 2013 to presentfactForm ADV
← G•••••• N•• M•••••••••

Dated events

Occurred
Oct 4, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 4, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 26, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 25, 2013
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2713cdb-5071-cfb9-73c9-48b6f98cb850
First observed: Oct 25, 2013
Last observed: Feb 16, 2026 7 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.