DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•••••• A••••••• C•••••••••
Legal name N•••••• R• B• A••••••• C•••
Latest filing Aug 5, 2026
First filing on the tape Feb 23, 2012 · 6 filings
SEC status approved since Apr 21, 2025
RAUM
$102M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
89%
$91.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$102M as of Aug 5, 2026
Feb 23, 2012$70.8M then
HNW client RAUM$63.2M as of Aug 5, 2026
Mar 27, 2025$66.4M then
State-registered IARs (5.B.3)2 as of Aug 5, 2026
Feb 23, 20120 then
Employees (5.A)5 as of Aug 5, 2026
Mar 27, 20255 then
Private funds: no history
RAUM +2.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $419,675derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $22.3M, 43 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$63.2M62%
- Individuals$27.8M27%
- Charitable organizations$11.4M11%
- Individual clients
- 111reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 244reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.3M for 43 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• J•••• K••••••Chartered Financial Analyst | North Andover, Ma | Sep 26, 2018 | 23 y | 5 |
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
- G••••• J•••• K•••••• from K•••••• C•••••• M••••••••• L••Sep 26, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• R•••••• B• · President/Chief Compliance Officercontrolsince 10/1985 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 248 to 244Mar 27, 2025 to Mar 4, 2026
- Advisory activities · 3 to 2Mar 27, 2025 to Mar 4, 2026
- HNW clients · 24 to 32Mar 27, 2025 to Mar 4, 2026
- Individual clients · 103 to 111Mar 27, 2025 to Mar 4, 2026
- Assets in custody · $24.0M to $22.3MMar 27, 2025 to Mar 4, 2026
- Discretionary RAUM · $87.2M to $80.1MMar 27, 2025 to Mar 4, 2026
- HNW RAUM · $66.4M to $63.2MMar 27, 2025 to Mar 4, 2026
- Individual RAUM · $23.7M to $27.8MMar 27, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $13.0M to $22.3MMar 27, 2025 to Mar 4, 2026
- RAUM · $100M to $102MMar 27, 2025 to Mar 4, 2026
- Accounts · 285 to 248May 9, 2012 to Mar 27, 2025
- Advisory employees · unset to 2.0May 9, 2012 to Mar 27, 2025
- Advisory activities · 2 to 3May 9, 2012 to Mar 27, 2025
- Charity clients · unset to 2.0May 9, 2012 to Mar 27, 2025
- HNW clients · unset to 24.0May 9, 2012 to Mar 27, 2025
- Individual clients · unset to 103.0May 9, 2012 to Mar 27, 2025
- Pension plan clients · unset to 0.0May 9, 2012 to Mar 27, 2025
- Pooled vehicle clients · unset to 0.0May 9, 2012 to Mar 27, 2025
- Assets in custody · $17.8M to $24.0MMay 9, 2012 to Mar 27, 2025
- Employees · unset to 5.0May 9, 2012 to Mar 27, 2025
- Financial planning clients · 26-50 to 1-10May 9, 2012 to Mar 27, 2025
- State-registered IARs · 0 to 2May 9, 2012 to Mar 27, 2025
- Other offices · unset to 0.0May 9, 2012 to Mar 27, 2025
- Discretionary RAUM · $19.9M to $87.2MMay 9, 2012 to Mar 27, 2025
- HNW RAUM · unset to 66369089.0May 9, 2012 to Mar 27, 2025
- Individual RAUM · unset to 23746121.0May 9, 2012 to Mar 27, 2025
- Non-discretionary RAUM · $50.9M to $13.0MMay 9, 2012 to Mar 27, 2025
- Pension RAUM · unset to 0.0May 9, 2012 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 0.0May 9, 2012 to Mar 27, 2025
- RAUM · $70.8M to $100MMay 9, 2012 to Mar 27, 2025
Signals
No event on the tape.
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
- 978-681-8821reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 781-820-4038reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 978-685-8000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- N••••••ADVISORY.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 978 681-8821reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- n•••••••••.comreportedpublished 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026