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
M•••••••• F••••••• • F•••• I••••••••• A•••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 29, 2012 · 14 filings
SEC status approved since Jul 29, 2022
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$144M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$172M
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
14 filings and snapshots on the tape
RAUM$172M as of Mar 20, 2026
Mar 29, 2012$58.6M then
HNW client RAUM$130M as of Mar 20, 2026
Mar 28, 2023$100M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 20, 2026
Mar 28, 20235 then
Private funds: no history
RAUM +16% over the last fiscal year+9.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M75%
- Corporations and businesses$27.7M16%
- Individuals$14.7M8.5%
- Individual clients
- 40reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 116reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| T••••• P•••••• M•••••••Chartered Financial Analyst | Orleans, Ma | Dec 15, 1994 | 36 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
- D••••• M•• F•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 24, 2020 · Other
Joined, latest
- D••••• M•• F•••• from W•••• F•••• A•••••••Jul 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• T•••••• P•••••• · President, Chief Compliance Officercontrolsince 11/1989 · 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
- HNW clients · 27 to 29Mar 25, 2025 to Mar 20, 2026
- Individual clients · 42 to 40Mar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $148M to $172MMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $119M to $130MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $12.2M to $14.7MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · 0.0 to unsetMar 25, 2025 to Mar 20, 2026
- RAUM · $148M to $172MMar 25, 2025 to Mar 20, 2026
- Accounts · 120 to 116Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 3 to 0Mar 27, 2024 to Mar 25, 2025
- HNW clients · 30 to 27Mar 27, 2024 to Mar 25, 2025
- Individual clients · 41 to 42Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $139M to $148MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $112M to $119MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $12.1M to $12.2MMar 27, 2024 to Mar 25, 2025
- RAUM · $139M to $148MMar 27, 2024 to Mar 25, 2025
- Individual clients · 39 to 41Mar 29, 2023 to Mar 26, 2024
- Pension plan clients · 1 to 0Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $133M to $139MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $100M to $112MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $10.5M to $12.1MMar 29, 2023 to Mar 26, 2024
- Pension RAUM · $8.6M to $0Mar 29, 2023 to Mar 26, 2024
- RAUM · $133M to $139MMar 29, 2023 to Mar 26, 2024
- Accounts · 114 to 120Jun 29, 2022 to Mar 28, 2023
- HNW clients · 28 to 30Jun 29, 2022 to Mar 28, 2023
- Individual clients · 40 to 39Jun 29, 2022 to Mar 28, 2023
- Employees · 4 to 5Jun 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $126M to $133MJun 29, 2022 to Mar 28, 2023
- HNW RAUM · $94.6M to $100MJun 29, 2022 to Mar 28, 2023
- Individual RAUM · $12.2M to $10.5MJun 29, 2022 to Mar 28, 2023
- Pension RAUM · $9.2M to $8.6MJun 29, 2022 to Mar 28, 2023
- RAUM · $126M to $133MJun 29, 2022 to Mar 28, 2023
- Accounts · 185 to 114Aug 27, 2012 to Jun 28, 2022
- Advisory employees · unset to 2.0Aug 27, 2012 to Jun 28, 2022
- Charity clients · unset to 0.0Aug 27, 2012 to Jun 28, 2022
- Corporate clients · unset to 3.0Aug 27, 2012 to Jun 28, 2022
- HNW clients · unset to 28.0Aug 27, 2012 to Jun 28, 2022
- Individual clients · unset to 40.0Aug 27, 2012 to Jun 28, 2022
- Pension plan clients · unset to 1.0Aug 27, 2012 to Jun 28, 2022
- Pooled vehicle clients · unset to 0.0Aug 27, 2012 to Jun 28, 2022
Signals
3 dated events
- Louise Linda Maslar (Director, Treasurer) no longer on Schedule A of M•••••••• F••••••• • F•••• I••••••••• A•••••••• I••• (listed 2012-08-27, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- E. Robert Flynn (Shareholder/Vice President) no longer on Schedule A of M•••••••• F••••••• • F•••• I••••••••• A•••••••• I••• (listed 2012-08-27, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- M•••••••• F••••••• • F•••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 28, 2022 · First SEC registration · 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
- i•••@m•••••••••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-255-1651reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••••INVESTMENTS.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-255-1651reportedpublic record, Form ADV, Mar 20, 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
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026