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
P••••• • S•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 20, 2012 · 38 filings
SEC status approved since Mar 28, 1985
RAUM
$859M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$859M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$286M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$859M as of Mar 27, 2026
Mar 20, 2012$285M then
HNW client RAUM$823M as of Mar 27, 2026
Mar 8, 2018$500M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 20, 20120 then
Employees (5.A)4 as of Mar 27, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $286MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $683,710derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $174M, 92 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$823M96%
- Individuals$36.0M4.2%
- Individual clients
- 74reported
- HNW clients
- 221reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,256reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $174M for 92 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R••••• G••••••Certified Financial Planner | Cambridge, Ma | Jun 6, 2007 | 29 y | 1 |
| R•••••• A•••••• S•••••Certified Financial Planner | Cambridge, Ma | Jul 29, 2013 | 24 y | 3 |
| M••• M• E••••Certified Financial Planner | Quincy, Ma | Nov 13, 2019 | 16 y | 3 |
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
- M••• M• E•••• from T•• F•••••••• M••••••••• I••Nov 13, 2019 · RIA to RIA
- R•••••• A•••••• S••••• from W• S••••••••• I••Jul 29, 2013 · Other
- J••• R••••• G•••••• from C••••••••• F•••••••• N••••••Jun 6, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J•••• R••••• · President And Directorcontrolsince 03/2014 · owns 50% to 75%
- S•••••• R••••••• A•••••• · Treasurer, Director, Secretary, Chief Compliance Officercontrolsince 07/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Cambridge, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Marshfield, MA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 27, 2026RAUM per registered advisor of $286,246,537 against a peer median of $106,309,121 (1261 comparable advisers, 99.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,268 to 1,256Nov 13, 2025 to Mar 27, 2026
- HNW clients · 223 to 221Nov 13, 2025 to Mar 27, 2026
- Individual clients · 70 to 74Nov 13, 2025 to Mar 27, 2026
- Assets in custody · $20.0M to $174MNov 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $749M to $859MNov 13, 2025 to Mar 27, 2026
- HNW RAUM · $710M to $823MNov 13, 2025 to Mar 27, 2026
- Individual RAUM · $39.1M to $36.0MNov 13, 2025 to Mar 27, 2026
- RAUM · $749M to $859MNov 13, 2025 to Mar 27, 2026
- Accounts · 1,217 to 1,268Mar 21, 2024 to Mar 18, 2025
- HNW clients · 197 to 223Mar 21, 2024 to Mar 18, 2025
- Individual clients · 88 to 70Mar 21, 2024 to Mar 18, 2025
- Assets in custody · unset to 20000000.0Mar 21, 2024 to Mar 18, 2025
- Custody of client assets · false to trueMar 21, 2024 to Mar 18, 2025
- Financial planning clients · 251-500 to 251-500Mar 21, 2024 to Mar 18, 2025
- Discretionary RAUM · $666M to $749MMar 21, 2024 to Mar 18, 2025
- HNW RAUM · $622M to $710MMar 21, 2024 to Mar 18, 2025
- Individual RAUM · $44.2M to $39.1MMar 21, 2024 to Mar 18, 2025
- RAUM · $666M to $749MMar 21, 2024 to Mar 18, 2025
- Accounts · 1,158 to 1,217Nov 13, 2023 to Mar 20, 2024
- HNW clients · 189 to 197Nov 13, 2023 to Mar 20, 2024
- Individual clients · 94 to 88Nov 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $576M to $666MNov 13, 2023 to Mar 20, 2024
- HNW RAUM · $534M to $622MNov 13, 2023 to Mar 20, 2024
- Individual RAUM · $42.7M to $44.2MNov 13, 2023 to Mar 20, 2024
- RAUM · $576M to $666MNov 13, 2023 to Mar 20, 2024
- Accounts · 1,133 to 1,158Dec 7, 2022 to Mar 15, 2023
- HNW clients · 200 to 189Dec 7, 2022 to Mar 15, 2023
- Individual clients · 81 to 94Dec 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $665M to $576MDec 7, 2022 to Mar 15, 2023
- HNW RAUM · $627M to $534MDec 7, 2022 to Mar 15, 2023
- Individual RAUM · $38.3M to $42.7MDec 7, 2022 to Mar 15, 2023
- RAUM · $665M to $576MDec 7, 2022 to Mar 15, 2023
- Accounts · 1,091 to 1,133Oct 12, 2021 to Mar 28, 2022
- HNW clients · 193 to 200Oct 12, 2021 to Mar 28, 2022
- Individual clients · 84 to 81Oct 12, 2021 to Mar 28, 2022
- Other offices · 2 to 3Oct 12, 2021 to Mar 28, 2022
- Discretionary RAUM · $577M to $665MOct 12, 2021 to Mar 28, 2022
- HNW RAUM · $540M to $627MOct 12, 2021 to Mar 28, 2022
- Individual RAUM · $37.4M to $38.3MOct 12, 2021 to Mar 28, 2022
- RAUM · $577M to $665MOct 12, 2021 to Mar 28, 2022
Signals
2 dated events
- Charles James Pinney (Owner) no longer on Schedule A of P••••• • S•••••••• I••• (listed 2021-03-26, absent 2021-10-12)Oct 12, 2021 · Control person left · inference
- Anthony Richard Seeley (Chief Compliance Officer) appeared on Schedule A of P••••• • S•••••••• I•••Mar 28, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 617-492-6223reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- pinneyandscofield.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-492-6223reportedpublic record, Form ADV, Mar 27, 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
- $286Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026