DFX Intelligence
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B••••• M••••••••• C• I••
Independent wealth manager, based in Haverhill, Massachusetts, reporting $446M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $446M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +13%
- Private clients
- 77% of RAUM, $341M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 104728 · SEC 801-22549 · 17 filingsShowHide
CRD 104728SEC 801-22549First filing on the tape Apr 2, 2012, latest Mar 31, 2026SEC status approved since Oct 15, 1984IAPD
RAUM
$446M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
77%
$341M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$446M as of Mar 31, 2026
Apr 2, 2012$148M then
HNW client RAUM$139M as of Mar 31, 2026
Mar 29, 2018$38.4M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 2, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Apr 3, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $54.9M, 14 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Individuals$203M45%
- High-net-worth individuals$139M31%
- Charitable organizations$96.9M22%
- Pension and profit-sharing plans$7.5M1.7%
- Individual clients
- 113reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 26reported
- Accounts
- 156reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.9M for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••••• A••••• · President / Chief Compliance Officercontrolsince 01/1990 · owns 75% or more
- B•••••• T•••••• D••••• · Directorsince 01/1990 · owns less than 5%
- M••••••• L•••• A••• · Directorsince 01/1990 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 145 to 156Mar 30, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 30, 2025 to Mar 31, 2026
- HNW clients · 9 to 14Mar 30, 2025 to Mar 31, 2026
- Individual clients · 110 to 113Mar 30, 2025 to Mar 31, 2026
- Assets in custody · $49.9M to $54.9MMar 30, 2025 to Mar 31, 2026
- Employees · 2 to 3Mar 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $382M to $434MMar 30, 2025 to Mar 31, 2026
- HNW RAUM · $99.0M to $139MMar 30, 2025 to Mar 31, 2026
- Individual RAUM · $196M to $203MMar 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $12.8M to $11.3MMar 30, 2025 to Mar 31, 2026
- Pension RAUM · $6.5M to $7.5MMar 30, 2025 to Mar 31, 2026
- RAUM · $394M to $446MMar 30, 2025 to Mar 31, 2026
- Accounts · 147 to 145Mar 29, 2024 to Mar 30, 2025
- Assets in custody · $44.0M to $49.9MMar 29, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $337M to $382MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $88.9M to $99.0MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $169M to $196MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $9.2M to $12.8MMar 29, 2024 to Mar 30, 2025
- Pension RAUM · $6.5M to $6.5MMar 29, 2024 to Mar 30, 2025
- RAUM · $346M to $394MMar 29, 2024 to Mar 30, 2025
- Accounts · 140 to 147Mar 28, 2023 to Mar 29, 2024
- HNW clients · 8 to 9Mar 28, 2023 to Mar 29, 2024
- Individual clients · 102 to 110Mar 28, 2023 to Mar 29, 2024
- Assets in custody · $43.2M to $44.0MMar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $295M to $337MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $78.6M to $88.9MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $149M to $169MMar 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $11.3M to $9.2MMar 28, 2023 to Mar 29, 2024
- Pension RAUM · $5.6M to $6.5MMar 28, 2023 to Mar 29, 2024
- RAUM · $306M to $346MMar 28, 2023 to Mar 29, 2024
- Accounts · 134 to 140Mar 23, 2022 to Mar 28, 2023
- Charity clients · 24 to 26Mar 23, 2022 to Mar 28, 2023
- HNW clients · 19 to 8Mar 23, 2022 to Mar 28, 2023
- Individual clients · 91 to 102Mar 23, 2022 to Mar 28, 2023
- Assets in custody · $42.8M to $43.2MMar 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $316M to $295MMar 23, 2022 to Mar 28, 2023
- HNW RAUM · $116M to $78.6MMar 23, 2022 to Mar 28, 2023
- Individual RAUM · $131M to $149MMar 23, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $13.6M to $11.3MMar 23, 2022 to Mar 28, 2023
Signals
No event on the tape.
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026