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••••
Legal name N•• E•••••• F•••••••• P••••••• G••••• L••
Latest filing Sep 2, 2026
First filing on the tape Jan 11, 2012 · 42 filings
SEC status approved since May 17, 1982
RAUM
$246M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$246M as of Mar 4, 2026
Jan 11, 2012$127M then
HNW client RAUM$207M as of Mar 4, 2026
Jan 30, 2018$96.1M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Jan 11, 20120 then
Employees (5.A)6 as of Mar 4, 2026
Feb 8, 20135 then
Private funds: no history
RAUM +8.5% over the last fiscal year+6.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $347,136derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$207M84%
- Individuals$38.7M16%
- Individual clients
- 120reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 709reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••• W••••• | Burlington, Ma | May 9, 1995 | 47 y | 1 |
| B••••••• B•••• N•••••• | Burlington, Ma | Dec 20, 2018 | 31 y | 4 |
| M•••••• M•••••• | Burlington, Ma | Aug 16, 2022 | 26 y | 1 |
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
- B••••••• T••••• W••••• to L••••• F•••••••• P•••••••May 13, 2020 · RIA to a state-registered adviser
- N••••• P•••• B••••• to N•••••• C•••••• A••••••• L••May 1, 2013 · Other
Joined, latest
- M•••••• M•••••• from W•••••••• A•••• M••••••••• I•••Aug 16, 2022 · Other
- B••••••• B•••• N•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- B••••••• T••••• W••••• from T•• F••••••••Jan 26, 2015 · Other
- N••••• P•••• B••••• from E•••••• P•••• A••••••• I•••Oct 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• R••••••• J••••• · Membercontrolsince 03/1989 · owns 50% to 75%
- N••••••• B•••••••• B•••• · Member/Chief Compliance Officersince 04/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Burlington, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 4, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 4, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 4, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 4, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 4, 2026 to Sep 2, 2026
- Succession · false to unsetMar 4, 2026 to Sep 2, 2026
- HNW clients · 65 to 76Sep 26, 2025 to Mar 4, 2026
- Individual clients · 127 to 120Sep 26, 2025 to Mar 4, 2026
- Discretionary RAUM · $118M to $128MSep 26, 2025 to Mar 4, 2026
- HNW RAUM · $186M to $207MSep 26, 2025 to Mar 4, 2026
- Individual RAUM · $41.1M to $38.7MSep 26, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $109M to $118MSep 26, 2025 to Mar 4, 2026
- RAUM · $227M to $246MSep 26, 2025 to Mar 4, 2026
- Accounts · 708 to 709Sep 3, 2024 to Feb 25, 2025
- HNW clients · 63 to 65Sep 3, 2024 to Feb 25, 2025
- Individual clients · 130 to 127Sep 3, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 11-25Sep 3, 2024 to Feb 25, 2025
- Discretionary RAUM · $112M to $118MSep 3, 2024 to Feb 25, 2025
- HNW RAUM · $168M to $186MSep 3, 2024 to Feb 25, 2025
- Individual RAUM · $52.5M to $41.1MSep 3, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $108M to $109MSep 3, 2024 to Feb 25, 2025
- RAUM · $220M to $227MSep 3, 2024 to Feb 25, 2025
- Insurance-licensed employees · 2 to 0Jan 31, 2024 to Aug 15, 2024
- Accounts · 709 to 708Sep 20, 2023 to Jan 30, 2024
- Advisory employees · 3 to 2Sep 20, 2023 to Jan 30, 2024
- BD registered reps · 2 to 3Sep 20, 2023 to Jan 30, 2024
- HNW clients · 64 to 63Sep 20, 2023 to Jan 30, 2024
- Individual clients · 137 to 130Sep 20, 2023 to Jan 30, 2024
- Insurance-licensed employees · 0 to 2Sep 20, 2023 to Jan 30, 2024
- Discretionary RAUM · $109M to $112MSep 20, 2023 to Jan 30, 2024
- HNW RAUM · $155M to $168MSep 20, 2023 to Jan 30, 2024
- Individual RAUM · $47.4M to $52.5MSep 20, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $93.0M to $108MSep 20, 2023 to Jan 30, 2024
- RAUM · $202M to $220MSep 20, 2023 to Jan 30, 2024
- Insurance-licensed employees · 1 to 3Feb 24, 2023 to Sep 20, 2023
- Insurance-licensed employees · 3 to 0Sep 20, 2023 to Sep 20, 2023
- Advisory employees · 2 to 3Feb 16, 2023 to Feb 24, 2023
- State-registered IARs · 2 to 3Feb 16, 2023 to Feb 24, 2023
- Accounts · 743 to 709Sep 20, 2022 to Feb 15, 2023
- BD registered reps · 1 to 2Sep 20, 2022 to Feb 15, 2023
Signals
1 dated events
- New England Financial Planning Group reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 26, 2019 · Succession (Item 4) · 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
- info@nefpg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- brad.nichols@nefpg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-272-2200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-273-4117reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- NEFPG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-272-2200reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- nefpg.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- nefpg.com/our-teamreportedpublished 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
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026