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
Prio Wealth LP
Legal name Prio Wealth Limited Partnership
Latest filing Feb 20, 2024
First filing on the tape Mar 28, 2012 · 30 filings
SEC status approved since Mar 18, 1988
RAUM
$3.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$3.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$3.7B as of Feb 20, 2024
Mar 28, 2012$2.0B then
HNW client RAUM$3.1B as of Feb 20, 2024
Mar 28, 2018$2.3B then
State-registered IARs (5.B.3)12 as of Feb 20, 2024
Mar 28, 20120 then
Employees (5.A)28 as of Feb 20, 2024
Mar 4, 201322 then
Private funds: no history
RAUM +14% over the last fiscal year+2.1% a year over threeIARs 11 to 12
Practice profile
derived from the filing of Feb 20, 2024; every figure names its basis
- RAUM per advisor
- $311MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $3.7B, 692 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)
- 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$3.1B83%
- Charitable organizations$386M10%
- Corporations and businesses$101M2.7%
- Individuals$82.4M2.2%
- Pension and profit-sharing plans$41.8M1.1%
- State and municipal entities$26.5M0.7%
- Individual clients
- 175reported
- HNW clients
- 464reported
- Pension plan clients
- 8reported
- Charitable clients
- 33reported
- Accounts
- 1,765reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 692 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- David Graham Swallow to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Robert Lauren Devinney to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Stephen Reinhold Petersen to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Kristin Cusimano Bowser to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Daniel Joseph Coleman to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Thomas Frederic Woodhouse to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- William James Dion to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Jeffrey J St. Mary to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Michael Javier Smith-Vaughan to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Kelly Anne Morgan to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- John Gerard Bratschi to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Alanna O'Connor Spada to Cerity Partners LLCFeb 3, 2025 · RIA to RIA
- Kelley Roche Ellis to Welch & Forbes LLCSep 26, 2022 · RIA to RIA
- Catherine M Kennedy to Birch Hill Investment Advisors LLCJan 25, 2018 · Other
- Gary Richard Mikula to Birch Hill Investment Advisors LLCJun 5, 2007 · Other
Joined, latest
- Robert Lauren Devinney from Fidelity Personal And Workplace AdvisorsAug 21, 2019 · Affiliated broker-dealer or bank to independent RIA
- William James Dion from Sage Financial Planning, LLCAug 21, 2019 · Other
- Michael Javier Smith-Vaughan from E*Trade Capital Management, LLCNov 2, 2018 · RIA to RIA
- Kelley Roche Ellis from Sandy Cove Advisors, LLCMay 9, 2018 · RIA to RIA
- Jeffrey J St. Mary from Lehman Brothers Inc.Jan 30, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for Cerity Partners LLCFeb 3, 2025 · Boston, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gerard John Bratschi · Limited Partner & Managing Partnercontrolsince 01/2008 · owns 10% to 25%
- Nmn Adrian Ketri · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- Anne Kelly Morgan · Limited Partner & Managing Partnercontrolsince 01/2011 · owns 10% to 25%
- Reinhold Stephen Petersen · Limited Partner & Managing Partnercontrolsince 07/2015 · owns less than 5%
- J Jeffrey St. Mary · Limited Partner & Managing Partnercontrolsince 01/2011 · owns 10% to 25%
- Frederic Thomas Woodhouse · Limited Partner & Managing Partnercontrolsince 01/2008 · owns 10% to 25%
- Gerard John Bratschi · Treasurercontrolsince 01/2011 · owns F of Prio Wealth, Inc.
- Reinhold Stephen Petersen · Presidentcontrolsince 07/2015 · owns F of Prio Wealth, Inc.
- Frederic Thomas Woodhouse · Secretarycontrolsince 01/2011 · owns F of Prio Wealth, Inc.
Entity owners
- Prio Wealth, Inc. · General Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Seaward Fiduciary Services, LLCn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 31 to 33Mar 22, 2023 to Feb 20, 2024
- Corporate clients · 9 to 11Mar 22, 2023 to Feb 20, 2024
- HNW clients · 445 to 464Mar 22, 2023 to Feb 20, 2024
- Individual clients · 197 to 175Mar 22, 2023 to Feb 20, 2024
- Assets in custody · $3.3B to $3.7BMar 22, 2023 to Feb 20, 2024
- State-registered IARs · 11 to 12Mar 22, 2023 to Feb 20, 2024
- Discretionary RAUM · $3.3B to $3.7BMar 22, 2023 to Feb 20, 2024
- HNW RAUM · $2.7B to $3.1BMar 22, 2023 to Feb 20, 2024
- Individual RAUM · $94.0M to $82.4MMar 22, 2023 to Feb 20, 2024
- Pension RAUM · $48.6M to $41.8MMar 22, 2023 to Feb 20, 2024
- RAUM · $3.3B to $3.7BMar 22, 2023 to Feb 20, 2024
- Accounts · 1,679 to 1,765Mar 31, 2022 to Mar 22, 2023
- Advisory employees · 15 to 14Mar 31, 2022 to Mar 22, 2023
- Business name · PRIO WEALTH LIMITED PARTNERSHIP to PRIO WEALTH LPMar 31, 2022 to Mar 22, 2023
- HNW clients · 475 to 445Mar 31, 2022 to Mar 22, 2023
- Individual clients · 156 to 197Mar 31, 2022 to Mar 22, 2023
- Pension plan clients · 9 to 8Mar 31, 2022 to Mar 22, 2023
- Assets in custody · $4.1B to $3.3BMar 31, 2022 to Mar 22, 2023
- Employees · 32 to 28Mar 31, 2022 to Mar 22, 2023
- Discretionary RAUM · $4.1B to $3.3BMar 31, 2022 to Mar 22, 2023
- HNW RAUM · $3.5B to $2.7BMar 31, 2022 to Mar 22, 2023
- Individual RAUM · $73.3M to $94.0MMar 31, 2022 to Mar 22, 2023
- Pension RAUM · $53.9M to $48.6MMar 31, 2022 to Mar 22, 2023
- RAUM · $4.1B to $3.3BMar 31, 2022 to Mar 22, 2023
- Accounts · 1,613 to 1,679Sep 23, 2021 to Mar 31, 2022
- HNW clients · 443 to 475Sep 23, 2021 to Mar 31, 2022
- Individual clients · 175 to 156Sep 23, 2021 to Mar 31, 2022
- Pension plan clients · 11 to 9Sep 23, 2021 to Mar 31, 2022
- Assets in custody · $3.3B to $4.1BSep 23, 2021 to Mar 31, 2022
- State-registered IARs · 10 to 11Sep 23, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.5B to $4.1BSep 23, 2021 to Mar 31, 2022
- HNW RAUM · $3.0B to $3.5BSep 23, 2021 to Mar 31, 2022
- Individual RAUM · $85.3M to $73.3MSep 23, 2021 to Mar 31, 2022
- Pension RAUM · $71.7M to $53.9MSep 23, 2021 to Mar 31, 2022
- RAUM · $3.5B to $4.1BSep 23, 2021 to Mar 31, 2022
- Advisory employees · 13 to 15Mar 23, 2021 to Sep 23, 2021
- Employees · 25 to 32Mar 23, 2021 to Sep 23, 2021
- Accounts · 1,521 to 1,613Jun 25, 2020 to Mar 23, 2021
- Advisory employees · 14 to 13Jun 25, 2020 to Mar 23, 2021
- Corporate clients · 7 to 9Jun 25, 2020 to Mar 23, 2021
Signals
19 dated events
- Prio Wealth Lp no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $3.7B)Mar 6, 2025 · Left the SEC roster · derived
- Thomas Frederic Woodhouse left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-17)Feb 3, 2025 · Advisor changed firm · fact
- William James Dion left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-27)Feb 3, 2025 · Advisor changed firm · fact
- Stephen Reinhold Petersen left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-17)Feb 3, 2025 · Advisor changed firm · fact
- Daniel Joseph Coleman left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-17)Feb 3, 2025 · Advisor changed firm · fact
- Kelly Anne Morgan left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-03)Feb 3, 2025 · Advisor changed firm · fact
- Alanna O'Connor Spada left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-27)Feb 3, 2025 · Advisor changed firm · fact
- Kristin Cusimano Bowser left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-17)Feb 3, 2025 · Advisor changed firm · fact
- John Gerard Bratschi left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-03)Feb 3, 2025 · Advisor changed firm · fact
- Robert Lauren Devinney left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-17)Feb 3, 2025 · Advisor changed firm · fact
- Jeffrey J St. Mary left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-03)Feb 3, 2025 · Advisor changed firm · fact
- Michael Javier Smith-Vaughan left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-03)Feb 3, 2025 · Advisor changed firm · fact
- David Graham Swallow left Prio Wealth Lp for Cerity Partners Llc (registered 2025-01-24)Feb 3, 2025 · Advisor changed firm · fact
- Prio Wealth LP's advisors moved to Cerity Partners LLC (Boston, MA): 12 of 12 registered, on the same dayFeb 3, 2025 · Firm absorbed (people side) · derived
- Kelley Roche Ellis left Prio Wealth Lp for Welch & Forbes Llc (registered 2024-05-22)Sep 26, 2022 · Advisor changed firm · fact
- Ann Melissa Mattison (Managing Director, Chief Operating Officer) no longer on Schedule A of Prio Wealth Lp (listed 2021-09-23, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Nmn Adrian Ketri (Chief Compliance Officer) appeared on Schedule A of Prio Wealth LpSep 23, 2021 · Control person joined · fact
- Matthew Bret Livingston (Chief Operating Officer & Chief Compliance Officer) no longer on Schedule A of Prio Wealth Lp (listed 2018-12-20, absent 2019-01-07)Jan 7, 2019 · Control person left · inference
- Ann Melissa Mattison (Coo/Cco) appeared on Schedule A of Prio Wealth LpJan 7, 2019 · 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.
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