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.
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SEC-registered adviser
S•••••• N••••••• H• • C• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 15, 2012 · 23 filings
SEC status approved since Aug 2, 1983
RAUM
$1.8B
reported, Item 5.F
Discretionary
3.9%
of RAUM
Private clients
100%
$1.8B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$449M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.8B as of Mar 30, 2026
Mar 15, 2012$483M then
HNW client RAUM$1.8B as of Mar 30, 2026
Mar 30, 2018$1.2B then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 15, 20120 then
Employees (5.A)8 as of Mar 30, 2026
Apr 1, 20135 then
Private funds: no history
RAUM -4.0% over the last fiscal year+3.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 30, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $449MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $11.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.9%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B100%
- Individuals$7.4M0.4%
- Individual clients
- 19reported
- HNW clients
- 136reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 155reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••• A•••••• S•••••• | Rockport, Ma | Apr 14, 1994 | 33 y | 0 |
| N••••• Q••••• S•••• | Rockport, Ma | Sep 2, 2005 | 21 y | 0 |
| W•••••• P••••• D•••• | Rockport, Ma | Dec 8, 2017 | 9 y | 0 |
| M•••••• G••••• P••••• S•••••• | Rockport, Ma | Jun 16, 2023 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- S••••••• D••••••• P••••• · Treasurer & Directorcontrolsince 03/2020 · owns less than 5%
- S••••••• J•••• E••• A•••••• · President, Ceo & Directorcontrolsince 11/2005 · owns 75% or more
- S••••••• N•••••••• H•••• · Chairman, Assistant Treasurer & Directorcontrolsince 11/2005 · owns less than 5%
- S••••• N•••••• Q••••• · Vice President & Directorcontrolsince 12/2011 · owns less than 5%
- D••••• W••••••• P••••• · Director Of Researchsince 07/2019 · owns less than 5%
- M••••••••• E••••••••• A••• · Chief Compliance Officer & Director Of Operationssince 09/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockport, Ma · principal | 4 | 0 | 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 Mar 30, 2026S••••••• N•••••••• H•••• (CHAIRMAN, ASSISTANT TREASURER & DIRECTOR) left Schedule A between the filings of 2020-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- HNW clients · 128 to 136Jun 30, 2025 to Mar 30, 2026
- Individual clients · 27 to 19Jun 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $59.3M to $69.5MJun 30, 2025 to Mar 30, 2026
- HNW RAUM · $1.9B to $1.8BJun 30, 2025 to Mar 30, 2026
- Individual RAUM · $14.2M to $7.4MJun 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.8B to $1.7BJun 30, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.8BJun 30, 2025 to Mar 30, 2026
- Advisory employees · 5 to 4Mar 27, 2025 to Jun 30, 2025
- Employees · 9 to 8Mar 27, 2025 to Jun 30, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jun 30, 2025
- State-registered IARs · 5 to 4Mar 27, 2025 to Jun 30, 2025
- Accounts · 156 to 155May 10, 2024 to Mar 27, 2025
- Individual clients · 28 to 27May 10, 2024 to Mar 27, 2025
- Discretionary RAUM · $54.4M to $59.3MMay 10, 2024 to Mar 27, 2025
- HNW RAUM · $1.7B to $1.9BMay 10, 2024 to Mar 27, 2025
- Individual RAUM · $13.3M to $14.2MMay 10, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.7B to $1.8BMay 10, 2024 to Mar 27, 2025
- RAUM · $1.8B to $1.9BMay 10, 2024 to Mar 27, 2025
- Accounts · 154 to 156Nov 16, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Nov 16, 2023 to Mar 28, 2024
- HNW clients · 124 to 128Nov 16, 2023 to Mar 28, 2024
- Individual clients · 30 to 28Nov 16, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Nov 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $50.6M to $54.4MNov 16, 2023 to Mar 28, 2024
- HNW RAUM · $1.6B to $1.7BNov 16, 2023 to Mar 28, 2024
- Individual RAUM · $14.5M to $13.3MNov 16, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.6B to $1.7BNov 16, 2023 to Mar 28, 2024
- RAUM · $1.6B to $1.8BNov 16, 2023 to Mar 28, 2024
- Accounts · 158 to 154Apr 8, 2022 to Mar 31, 2023
- HNW clients · 103 to 124Apr 8, 2022 to Mar 31, 2023
- Individual clients · 22 to 30Apr 8, 2022 to Mar 31, 2023
- Employees · 8 to 9Apr 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $54.5M to $50.6MApr 8, 2022 to Mar 31, 2023
- HNW RAUM · $1.9B to $1.6BApr 8, 2022 to Mar 31, 2023
- Individual RAUM · $13.1M to $14.5MApr 8, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.8B to $1.6BApr 8, 2022 to Mar 31, 2023
- RAUM · $1.9B to $1.6BApr 8, 2022 to Mar 31, 2023
- Accounts · 154 to 158Mar 29, 2021 to Mar 31, 2022
- HNW clients · 124 to 103Mar 29, 2021 to Mar 31, 2022
- Individual clients · 30 to 22Mar 29, 2021 to Mar 31, 2022
Signals
1 dated events
- P••••• D•••••• S•••••• (Treasurer & Director) appeared on Schedule A of S•••••• N••••••• H• • C• I••Mar 30, 2020 · Control person joined · fact
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
- Principal office phone
- 978-546-2462reportedpublic record, Form ADV, Mar 30, 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
- $449Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026