DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••••••• • C•••••• I•••
Latest filing May 4, 2026
First filing on the tape Dec 21, 2011 · 26 filings
SEC status approved since May 4, 1984
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$1.1B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.2B as of May 4, 2026
Mar 29, 2012$448M then
HNW client RAUM$1.0B as of May 4, 2026
Mar 29, 2018$558M then
State-registered IARs (5.B.3)7 as of May 4, 2026
Mar 29, 20120 then
Employees (5.A)16 as of May 4, 2026
Mar 28, 201314 then
Private funds1 as of Mar 24, 2015
Mar 29, 20121 then
RAUM +6.5% over the last fiscal year+11% a year over threeIARs 6 to 7
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.2B, 367 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B82%
- Charitable organizations$93.9M7.6%
- Pension and profit-sharing plans$74.1M6.0%
- Individuals$50.9M4.1%
- Individual clients
- 108reported
- HNW clients
- 238reported
- Pension plan clients
- 5reported
- Charitable clients
- 17reported
- Accounts
- 613reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 367 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• K••••• W••••Certified Financial Planner | B•••••, Ma | Jan 1, 1996 | 36 y | 1 |
| J••• K• S••••••Chartered Financial Analyst | B•••••, Ma | Jan 1, 2003 | 33 y | 0 |
| M•••• M••••••••Chartered Financial Analyst | B•••••, Ma | Jun 26, 2003 | 23 y | 0 |
| R••••• G•• B••••Chartered Financial Analyst | B•••••, Ma | Sep 26, 2016 | 11 y | 0 |
| G•••••••• A••••••• | B•••••, Ma | May 11, 2021 | 29 y | 0 |
| B•••• L•••• H•••••••Chartered Financial Analyst | B•••••, Ma | Sep 16, 2021 | 14 y | 2 |
| B••••••• P•••• | B•••••, Ma | Jul 30, 2026 | 13 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• M•••• S••••• to B••••• F•••••••• M••••••••• L••Aug 17, 2022 · RIA to RIA
- J••• D•••• P••• to B••••• F•••••••• M••••••••• L••Jun 15, 2022 · RIA to RIA
- A••• M• G••••••• to M•••••• W••••• M•••••••••Apr 3, 2017 · Other
- C••••••• H•••••• K••• to E•••••• I••••••••• M••••••••• L••Dec 31, 2002 · Other
Joined, latest
- B••••••• P•••• from W••••• E••••••••• A••••••• S•••••••• L••Jul 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• L•••• H••••••• from S•••••••• S•••••••••Sep 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••• D•••• P••• from W•••••• W••••• M••••••••• L••Feb 17, 2021 · Other
- D•••• M•••• S••••• from W•••••• W••••• M••••••••• L••Aug 7, 2017 · Other
- A••• M• G••••••• from B••••••••• P•••••••Nov 24, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••••• W••••• M••••••••• L••Aug 25, 2017 · B•••••, Ma
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• L••no longer reported | Other Private Fund | $2.8M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• G•• · Managing Directorcontrolsince 07/2021 · owns less than 5%
- M••••••••• M•••• · Managing Directorcontrolsince 06/2006 · owns less than 5%
- S••••••• J•••• K• · Chief Executive Directorcontrolsince 07/2016 · owns 5% to 10%
- W••••• A••••• K••••• · Board Chairman; Managing Directorcontrolsince 07/2016 · owns 5% to 10%
- M••••••••• M•••• · Trusteecontrolsince 04/2016 · owns F of M•••••••• • C•••••• E••••••• S•••• O•••••••• Plan
- S••••••• J••• J•••• K• · Trusteecontrolsince 03/2004 · owns F of M•••••••• • C•••••• E••••••• S•••• Ownersip Trust
- W••••• A••••• K••••• · Trusteecontrolsince 03/2004 · owns F of M•••••••• • C•••••• E••••••• S•••• O•••••••• T••••
- M•••••• C••••••••• P•••• · Chief Compliance Officersince 04/2025 · owns less than 5%
Entity owners
- M•••••••• • C•••••• E••••••• · Trustdirect · owns 75% or more
- M•••••••• • C•••••• E••••••• S•••• O•••••••• T•••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••••• F•••••••• S•••••••• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| B•••••, Ma · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 4, 2026W••••• A••••• K••••• (TRUSTEE) left Schedule A between the filings of 2022-08-19 and 2026-05-04peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 602 to 613Mar 28, 2025 to Mar 27, 2026
- HNW clients · 232 to 238Mar 28, 2025 to Mar 27, 2026
- Individual clients · 117 to 108Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $1.2B to $1.2BMar 28, 2025 to Mar 27, 2026
- Employees · 15 to 16Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 6 to 7Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $1.2BMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $947M to $1.0BMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $49.7M to $50.9MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $71.4M to $74.1MMar 28, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.2BMar 28, 2025 to Mar 27, 2026
- Accounts · 572 to 602Mar 22, 2024 to Mar 28, 2025
- Charity clients · 18 to 17Mar 22, 2024 to Mar 28, 2025
- HNW clients · 214 to 232Mar 22, 2024 to Mar 28, 2025
- Individual clients · 116 to 117Mar 22, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 5Mar 22, 2024 to Mar 28, 2025
- Assets in custody · $1.0B to $1.2BMar 22, 2024 to Mar 28, 2025
- Employees · 14 to 15Mar 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.2BMar 22, 2024 to Mar 28, 2025
- HNW RAUM · $818M to $947MMar 22, 2024 to Mar 28, 2025
- Individual RAUM · $44.1M to $49.7MMar 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8,186 to $0Mar 22, 2024 to Mar 28, 2025
- Pension RAUM · $67.2M to $71.4MMar 22, 2024 to Mar 28, 2025
- RAUM · $1.0B to $1.2BMar 22, 2024 to Mar 28, 2025
- Accounts · 557 to 572Jan 31, 2024 to Mar 22, 2024
- HNW clients · 210 to 214Jan 31, 2024 to Mar 22, 2024
- Individual clients · 120 to 116Jan 31, 2024 to Mar 22, 2024
- Assets in custody · $893M to $1.0BJan 31, 2024 to Mar 22, 2024
- Discretionary RAUM · $893M to $1.0BJan 31, 2024 to Mar 22, 2024
- HNW RAUM · $700M to $818MJan 31, 2024 to Mar 22, 2024
- Individual RAUM · $34.0M to $44.1MJan 31, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $2.1M to $8,186Jan 31, 2024 to Mar 22, 2024
- Pension RAUM · $61.0M to $67.2MJan 31, 2024 to Mar 22, 2024
- RAUM · $895M to $1.0BJan 31, 2024 to Mar 22, 2024
- Accounts · 647 to 557Aug 19, 2022 to Mar 17, 2023
- Advisory employees · 9 to 7Aug 19, 2022 to Mar 17, 2023
- Charity clients · 17 to 18Aug 19, 2022 to Mar 17, 2023
- Corporate clients · 13 to 0Aug 19, 2022 to Mar 17, 2023
- HNW clients · 250 to 210Aug 19, 2022 to Mar 17, 2023
Signals
9 dated events
- Adrienne Dorothy Bowers (Chief Operating Officer) no longer on Schedule A of M•••••••• • C•••••• I••• (listed 2023-04-06, absent 2023-08-09)Aug 9, 2023 · Control person left · inference
- M•••••••• • C•••••• I••• reported RAUM $895.2M, down 31% from $1.3B (2022-08-19 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- Marie Donna Scotti (Managing Director) no longer on Schedule A of M•••••••• • C•••••• I••• (listed 2022-03-29, absent 2022-08-19)Aug 19, 2022 · Control person left · inference
- Guy Robert Bruch (Chief Investment Officer) appeared on Schedule A of M•••••••• • C•••••• I•••Aug 19, 2022 · Control person joined · fact
- Adrienne Dorothy Bowers (Chief Operating Officer) appeared on Schedule A of M•••••••• • C•••••• I•••Aug 19, 2022 · Control person joined · fact
- D•••• M•••• S••••• left M•••••••• • C•••••• I••• for B••••• F•••••••• M••••••••• L•• (registered 2022-09-29)Aug 17, 2022 · Advisor changed firm · fact
- J••• D•••• P••• left M•••••••• • C•••••• I••• for B••••• F•••••••• M••••••••• L•• (registered 2023-09-27)Jun 15, 2022 · Advisor changed firm · fact
- Marie Donna Scotti (Managing Director) appeared on Schedule A of M•••••••• • C•••••• I•••Mar 29, 2022 · Control person joined · fact
- Norman Eric Gutterson (Managing Director; Director) no longer on Schedule A of M•••••••• • C•••••• I••• (listed 2019-03-29, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617)357-5101reportedpublic record, Form ADV, May 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026