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.

Former SEC-registered adviser

Thomaspartners, Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 104966SEC 801-22189IAPD
Latest filing Feb 15, 2018
First filing on the tape Mar 20, 2012 · 27 filings
RAUM
$15B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
18 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2017
Mar 20, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 31, 2017
Apr 1, 201311 then
Employees (5.A)33 as of Mar 31, 2017
Apr 1, 201316 then
Private funds: no history
RAUM +100% over the last fiscal year+51% a year over threeIARs 17 to 20
Practice profile
derived from the filing of Feb 15, 2018; every figure names its basis
RAUM per advisor
$730MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$335,823derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+39%derivedbetween the last two annual amendments
Advisor growth, one year
+18%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$335M, 423 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
43,468reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $12B managedreported
Custody of client assets
$335M for 423 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Marie-Laure Marlene Bates · Chief Financial Officer And Directorcontrol
      since 12/2015 · owns less than 5%
    • Henry Thomas Dorsky · Vice President And Chief Operations Officercontrol
      since 05/2016 · owns less than 5%
    • Alyssa Duffy · Chief Legal Officercontrol
      since 07/2013 · owns less than 5%
    • Edward Michael Gillespie · Vice President And Chief Compliance Officercontrol
      since 02/2015 · owns less than 5%
    • Patrick William Mcmahon · Senior Vice President And Chief Investment Officercontrol
      since 12/2008 · owns less than 5%
    • Larry Bryan Olson · Senior Vice President And Directorcontrol
      since 12/2012 · owns less than 5%
    • F William Quinn · Treasurer And Directorcontrol
      since 12/2012 · owns less than 5%
    • Nelson Gregory Thomas · Senior Vice President And Chief Investment Strategistcontrol
      since 06/2001 · owns less than 5%
    • A Richard Wurster · Chief Executive Officercontrol
      since 07/2016 · owns less than 5%
    Entity owners
    • The Charles Schwab Corporation · 100% Owner
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Thomaspartners, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Burlington, VT1 employees
    • Denver, CO1 employees
    • Lone Tree, CO1 employees
    • Plano, TX1 employees
    • Raleigh, NC1 employees
    • San Francisco, CA1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 33,428 to 43,468
      Jul 18, 2017 to Feb 15, 2018
    • Other offices · unset to 7.0
      Jul 18, 2017 to Feb 15, 2018
    • Discretionary RAUM · $10B to $15B
      Jul 18, 2017 to Feb 15, 2018
    • Non-discretionary RAUM · $20.3M to $14.9M
      Jul 18, 2017 to Feb 15, 2018
    • RAUM · $10B to $15B
      Jul 18, 2017 to Feb 15, 2018
    • Wrap assets (manager) · unset to 11872671489.0
      Jul 18, 2017 to Feb 15, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Jul 18, 2017 to Feb 15, 2018
    • Accounts · 26,178 to 33,428
      Aug 4, 2016 to Mar 31, 2017
    • Assets in custody · $320M to $335M
      Aug 4, 2016 to Mar 31, 2017
    • Employees · 29 to 33
      Aug 4, 2016 to Mar 31, 2017
    • Insurance-licensed employees · 0 to 2
      Aug 4, 2016 to Mar 31, 2017
    • State-registered IARs · 17 to 20
      Aug 4, 2016 to Mar 31, 2017
    • Discretionary RAUM · $7.3B to $10B
      Aug 4, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $17.5M to $20.3M
      Aug 4, 2016 to Mar 31, 2017
    • RAUM · $7.3B to $10B
      Aug 4, 2016 to Mar 31, 2017
    • Accounts · 21,665 to 26,178
      Mar 31, 2015 to Mar 30, 2016
    • Advisory employees · 12 to 18
      Mar 31, 2015 to Mar 30, 2016
    • Assets in custody · $463M to $320M
      Mar 31, 2015 to Mar 30, 2016
    • Employees · 27 to 29
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $6.6B to $7.3B
      Mar 31, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $20.4M to $17.5M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $6.6B to $7.3B
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 11,934 to 21,665
      Feb 13, 2015 to Mar 31, 2015
    • Advisory employees · 9 to 12
      Feb 13, 2015 to Mar 31, 2015
    • Assets in custody · $350M to $463M
      Feb 13, 2015 to Mar 31, 2015
    • Employees · 20 to 27
      Feb 13, 2015 to Mar 31, 2015
    • Financial planning clients · 1-10 to unset
      Feb 13, 2015 to Mar 31, 2015
    • State-registered IARs · 15 to 17
      Feb 13, 2015 to Mar 31, 2015
    • Discretionary RAUM · $4.2B to $6.6B
      Feb 13, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $18.9M to $20.4M
      Feb 13, 2015 to Mar 31, 2015
    • RAUM · $4.2B to $6.6B
      Feb 13, 2015 to Mar 31, 2015
    • HQ city · WELLESLEY to BOSTON
      Apr 16, 2014 to Oct 27, 2014
    • Advisory activities · 2 to 1
      Mar 28, 2014 to Apr 16, 2014
    • Accounts · 4,370 to 11,934
      Jul 8, 2013 to Mar 28, 2014
    • Advisory employees · 8 to 9
      Jul 8, 2013 to Mar 28, 2014
    • Assets in custody · $0 to $350M
      Jul 8, 2013 to Mar 28, 2014
    • Employees · 16 to 20
      Jul 8, 2013 to Mar 28, 2014
    • Insurance-licensed employees · 2 to 0
      Jul 8, 2013 to Mar 28, 2014
    • State-registered IARs · 11 to 15
      Jul 8, 2013 to Mar 28, 2014
    • Discretionary RAUM · $2.2B to $4.2B
      Jul 8, 2013 to Mar 28, 2014
    Signals
    1 dated events
    • Thomaspartners, Inc. reported RAUM $14.6B, up 43% from $10.2B (2017-07-18 to 2018-02-15)
      Feb 15, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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