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
N•••••••• I••••••••• M••••••••• I••
Latest filing Feb 19, 2026
First filing on the tape Dec 22, 2011 · 26 filings
SEC status approved since Oct 2, 1984
RAUM
$3.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$3.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$364M
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$3.3B as of Feb 19, 2026
Feb 28, 2012$1.0B then
HNW client RAUM$2.8B as of Feb 19, 2026
Mar 15, 2018$1.4B then
State-registered IARs (5.B.3)10 as of Feb 19, 2026
Feb 28, 20120 then
Employees (5.A)25 as of Feb 19, 2026
Mar 1, 201322 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $364MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.8B86%
- Individuals$315M9.6%
- Charitable organizations$75.8M2.3%
- Corporations and businesses$45.9M1.4%
- Pension and profit-sharing plans$8.8M0.3%
- Individual clients
- 1,077reported
- HNW clients
- 549reported
- Pension plan clients
- 4reported
- Charitable clients
- 12reported
- Accounts
- 1,651reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $4.3M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• M•••• M•••••••Certified Financial Planner | Boston, Ma | Mar 17, 2008 | 27 y | 0 |
| J••• F•••• F•••••••Chartered Financial Analyst | Boston, Ma | Apr 2, 2008 | 34 y | 0 |
| D••••• C••••Certified Financial Planner | Boston, Ma | Mar 18, 2009 | 23 y | 0 |
| J••• R••••• L•••••Chartered Financial Analyst | Boston, Ma | Nov 12, 2013 | 19 y | 0 |
| R••••• M•••••• K•••Certified Financial Planner | Boston, Ma | Jan 30, 2017 | 13 y | 0 |
| J••••• E• O••••Certified Financial Planner | Boston, Ma | Mar 12, 2020 | 15 y | 0 |
| J•••• W• M•••••Certified Financial Planner | Boston, Ma | Mar 12, 2020 | 15 y | 0 |
| C••••••••• P••• H•••••Certified Financial Planner | Boston, Ma | Jun 24, 2021 | 10 y | 0 |
| C•••• P• M•••••Chartered Financial Analyst | Boston, Ma | Apr 16, 2026 | 12 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
- C••••• P••••• M••••• to S••••••• C•••••• A•••••••Feb 1, 2011 · Other
- G••••• C•••••• B•••••• to S••••••• C•••••• A•••••••Oct 29, 2010 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• J•••• F•••• · Director Directorcontrolsince 08/2012 · owns 10% to 25%
- L•••••• J•••• R••••• · Directorcontrolsince 01/2019 · owns 10% to 25%
- M••••••••• R••••••• G••••• · Cco, Cfo & Directorcontrolsince 08/2012 · owns 10% to 25%
- M•••••••• N••••• M•••• · President & Directorcontrolsince 01/2017 · owns 10% to 25%
- O••••• J•••••• E• · Directorcontrolsince 08/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list N•••••••• I••••••••• M••••••••• I•• as a related person
- 108214 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Concord, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 19, 2026M•••••••• N••••• M•••• (PRESIDENT & DIRECTOR) left Schedule A between the filings of 2020-03-11 and 2026-02-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,597 to 1,651May 22, 2025 to Feb 19, 2026
- Advisory employees · 9 to 11May 22, 2025 to Feb 19, 2026
- Corporate clients · 7 to 6May 22, 2025 to Feb 19, 2026
- HNW clients · 552 to 549May 22, 2025 to Feb 19, 2026
- Individual clients · 1,023 to 1,077May 22, 2025 to Feb 19, 2026
- Pension plan clients · unset to 4.0May 22, 2025 to Feb 19, 2026
- Assets in custody · $2.8B to $3.2BMay 22, 2025 to Feb 19, 2026
- Employees · 26 to 25May 22, 2025 to Feb 19, 2026
- State-registered IARs · 9 to 10May 22, 2025 to Feb 19, 2026
- Discretionary RAUM · $2.9B to $3.2BMay 22, 2025 to Feb 19, 2026
- HNW RAUM · $2.5B to $2.8BMay 22, 2025 to Feb 19, 2026
- Individual RAUM · $279M to $315MMay 22, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $56.4M to $42.8MMay 22, 2025 to Feb 19, 2026
- Pension RAUM · unset to 8820247.0May 22, 2025 to Feb 19, 2026
- RAUM · $2.9B to $3.3BMay 22, 2025 to Feb 19, 2026
- Wrap assets (manager) · $4.7M to $4.3MMay 22, 2025 to Feb 19, 2026
- Financial planning clients · unset to Feb 14, 2025 to May 22, 2025
- Accounts · 1,543 to 1,597Sep 30, 2024 to Feb 14, 2025
- Corporate clients · 6 to 7Sep 30, 2024 to Feb 14, 2025
- HNW clients · 503 to 552Sep 30, 2024 to Feb 14, 2025
- Individual clients · 1,019 to 1,023Sep 30, 2024 to Feb 14, 2025
- Assets in custody · $2.4B to $2.8BSep 30, 2024 to Feb 14, 2025
- Discretionary RAUM · $2.5B to $2.9BSep 30, 2024 to Feb 14, 2025
- HNW RAUM · $2.1B to $2.5BSep 30, 2024 to Feb 14, 2025
- Individual RAUM · $285M to $279MSep 30, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $53.3M to $56.4MSep 30, 2024 to Feb 14, 2025
- RAUM · $2.5B to $2.9BSep 30, 2024 to Feb 14, 2025
- Wrap assets (manager) · $3.7M to $4.7MSep 30, 2024 to Feb 14, 2025
- Accounts · 1,541 to 1,543Mar 2, 2023 to Feb 28, 2024
- Corporate clients · 5 to 6Mar 2, 2023 to Feb 28, 2024
- HNW clients · 457 to 503Mar 2, 2023 to Feb 28, 2024
- Individual clients · 1,063 to 1,019Mar 2, 2023 to Feb 28, 2024
- Assets in custody · $2.1B to $2.4BMar 2, 2023 to Feb 28, 2024
- Other offices · 0 to 1Mar 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $2.1B to $2.5BMar 2, 2023 to Feb 28, 2024
- HNW RAUM · $1.8B to $2.1BMar 2, 2023 to Feb 28, 2024
- Individual RAUM · $292M to $285MMar 2, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $54.4M to $53.3MMar 2, 2023 to Feb 28, 2024
- RAUM · $2.1B to $2.5BMar 2, 2023 to Feb 28, 2024
- Wrap assets (manager) · $4.7M to $3.7MMar 2, 2023 to Feb 28, 2024
Signals
2 dated events
- Boushall Thomas Moore (Director) no longer on Schedule A of N•••••••• I••••••••• M••••••••• I•• (listed 2020-06-26, absent 2021-03-17)Mar 17, 2021 · Control person left · inference
- Robert John Lawrie (Director) appeared on Schedule A of N•••••••• I••••••••• M••••••••• I••Mar 11, 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
- Business email
- t••••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- g•••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l•••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $364Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026