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••••••••• A•••••••
Legal name N••••• I••••••••• A••••••• L•••••• P•••••••••
Latest filing Mar 5, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Nov 14, 1988
RAUM
$3.0B
reported, Item 5.F
Discretionary
2.4%
of RAUM
Private clients
2.4%
$70.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$741M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.0B as of Mar 5, 2026
Mar 29, 2012$1.1B then
HNW client RAUM$67.6M as of Mar 5, 2026
Mar 30, 2018$49.0M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 5, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
- RAUM per advisor
- $741MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $72.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.4%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
- 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
- Corporations and businesses$2.9B98%
- High-net-worth individuals$67.6M2.3%
- Individuals$2.4M0.1%
- Individual clients
- 5reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V•••• N••••Chartered Financial Analyst | Boston, Ma | Nov 24, 2015 | 22 y | 2 |
| J•••• C•••• B••••Chartered Financial Analyst | Boston, Ma | Oct 11, 2017 | 12 y | 2 |
| R•••••• A••••• S•••••Certified Financial Planner, Chartered Financial Analyst | Boston, Ma | Mar 13, 2019 | 31 y | 1 |
| A•• B• K•••••• | Boston, Ma | Jan 19, 2022 | 18 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
none on the tape
Joined, latest
- R•••••• A••••• S••••• from W•••••••• I••••••••• P•••••••• L••Mar 13, 2019 · Other
- J•••• C•••• B•••• from C••••••••• F•••••••• N••••••Oct 11, 2017 · Other
- V•••• N•••• from P••••••••• A••••••• L••Nov 24, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• C•••• · Director Of Research, Portfolio Manager, Chief Compliance Officer And Manager Of Gpcontrolsince 03/2021 · owns less than 5%
- J•••••• T•••••• P•••• · Manager Of Gpcontrolsince 04/2002 · owns less than 5%
- M••••• D••••••• J••••• · Manager Of Gpcontrolsince 04/2002 · owns less than 5%
- N••••• V•••• · Manager Of Gpcontrolsince 02/2022 · owns less than 5%
- R••••••• J••••••• W•••••• · Manager Of Gpcontrolsince 03/2021 · owns less than 5%
- S•••••• R••••••• A••••• · Chief Executive Officer And Manager Of Gpcontrolsince 06/2019 · owns less than 5%
- B••••• J••••• C•••• · Managercontrolsince 03/2021 · owns F of N•• P•••••••• L••
- J•••••• T•••••• P•••• · Managercontrolsince 04/2002 · owns F of N•• P•••••••• L••
- M••••• D••••••• J••••• · Managercontrolsince 04/2002 · owns F of N•• P•••••••• L••
- N••••• V•••• · Managercontrolsince 02/2022 · owns F of N•• P•••••••• L••
- R••••••• J••••••• W•••••• · Managercontrolsince 03/2021 · owns F of N•• P•••••••• L••
- S•••••• R••••••• A••••• · Managercontrolsince 06/2019 · owns F of N•• P•••••••• L••
Entity owners
- N•• P•••••••• L•• · General Partnerdirect · owns less than 5%
- N•••••• M•••••••• • F•••• L•• · Limited Partner And Member Of Gpdirect · owns 75% or more
- N•••••• M•••••••• • F•••• L•• · Memberindirect · owns 75% or more of N•• P•••••••• L••
Related persons
Schedule D 7.A
- N•••••• M•••••••• • F•••• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 42 to 41Apr 14, 2025 to Mar 5, 2026
- HNW clients · 21 to 20Apr 14, 2025 to Mar 5, 2026
- Discretionary RAUM · $69.6M to $70.0MApr 14, 2025 to Mar 5, 2026
- HNW RAUM · $67.3M to $67.6MApr 14, 2025 to Mar 5, 2026
- Individual RAUM · $2.3M to $2.4MApr 14, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $2.6B to $2.9BApr 14, 2025 to Mar 5, 2026
- RAUM · $2.7B to $3.0BApr 14, 2025 to Mar 5, 2026
- Accounts · 38 to 42Mar 19, 2024 to Apr 14, 2025
- HNW clients · 19 to 21Mar 19, 2024 to Apr 14, 2025
- Pension plan clients · 1.0 to unsetMar 19, 2024 to Apr 14, 2025
- Assets in custody · 24044517.0 to unsetMar 19, 2024 to Apr 14, 2025
- Custody of client assets · true to falseMar 19, 2024 to Apr 14, 2025
- Financial planning clients · unset to Mar 19, 2024 to Apr 14, 2025
- Discretionary RAUM · $97.2M to $69.6MMar 19, 2024 to Apr 14, 2025
- HNW RAUM · $58.6M to $67.3MMar 19, 2024 to Apr 14, 2025
- Individual RAUM · $2.3M to $2.3MMar 19, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $2.3B to $2.6BMar 19, 2024 to Apr 14, 2025
- Pension RAUM · 36303342.0 to unsetMar 19, 2024 to Apr 14, 2025
- RAUM · $2.4B to $2.7BMar 19, 2024 to Apr 14, 2025
- Accounts · 34 to 38Mar 23, 2023 to Mar 19, 2024
- Advisory employees · 5 to 4Mar 23, 2023 to Mar 19, 2024
- Assets in custody · $54.9M to $24.0MMar 23, 2023 to Mar 19, 2024
- State-registered IARs · 5 to 4Mar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $86.8M to $97.2MMar 23, 2023 to Mar 19, 2024
- HNW RAUM · $52.9M to $58.6MMar 23, 2023 to Mar 19, 2024
- Individual RAUM · $2.2M to $2.3MMar 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $2.1B to $2.3BMar 23, 2023 to Mar 19, 2024
- Pension RAUM · $31.7M to $36.3MMar 23, 2023 to Mar 19, 2024
- RAUM · $2.1B to $2.4BMar 23, 2023 to Mar 19, 2024
- Assets in custody · $65.6M to $54.9MApr 21, 2022 to Mar 23, 2023
- Discretionary RAUM · $106M to $86.8MApr 21, 2022 to Mar 23, 2023
- HNW RAUM · $62.3M to $52.9MApr 21, 2022 to Mar 23, 2023
- Individual RAUM · $3.3M to $2.2MApr 21, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $2.4B to $2.1BApr 21, 2022 to Mar 23, 2023
- Pension RAUM · $40.7M to $31.7MApr 21, 2022 to Mar 23, 2023
- RAUM · $2.5B to $2.1BApr 21, 2022 to Mar 23, 2023
- Accounts · 38 to 34Mar 30, 2021 to Mar 29, 2022
- HNW clients · 18 to 19Mar 30, 2021 to Mar 29, 2022
- Assets in custody · $56.2M to $65.6MMar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $95.1M to $106MMar 30, 2021 to Mar 29, 2022
Signals
7 dated events
- Edward Claude Dinaro (Manager Of Gp) no longer on Schedule A of N••••• I••••••••• A••••••• (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- V•••• N•••• (Manager Of Gp) appeared on Schedule A of N••••• I••••••••• A•••••••Mar 29, 2022 · Control person joined · fact
- William Jeffrey Roberts (Manager Of Gp) appeared on Schedule A of N••••• I••••••••• A•••••••Mar 30, 2021 · Control person joined · fact
- N••••• I••••••••• A••••••• reported RAUM $2.0B, up 39% from $1.4B (2019-10-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Maynard Edward Barnes Abbott (Member) no longer on Schedule A of N••••• I••••••••• A••••••• (listed 2019-10-09, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Colin James Bacon (Chief Compliance Officer) appeared on Schedule A of N••••• I••••••••• A•••••••Jul 23, 2019 · Control person joined · fact
- Alfred Richard Sipley (President And Chief Executive Officer And Manager Of Gp) appeared on Schedule A of N••••• I••••••••• A•••••••Jul 8, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-439-2100reportedpublic record, Form ADV, Mar 5, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $741Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026