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•••••• • P•••• A••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Oct 11, 1994
RAUM
$2.4B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$2.2B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
20
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.4B as of Aug 26, 2026
Mar 29, 2012$1.4B then
HNW client RAUM$2.2B as of Aug 26, 2026
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Mar 29, 20120 then
Employees (5.A)20 as of Aug 26, 2026
Mar 28, 201324 then
Private funds: no history
RAUM +4.7% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $25.6MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $2.1B, 106 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$2.2B99%
- Individuals$21.8M1.0%
- Individual clients
- 21reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 642reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 106 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• K•••••• N••••••Chartered Financial Analyst | Boston, Ma | Mar 31, 2022 | 29 y | 0 |
| T••••• E•••• B••••Chartered Financial Analyst | Boston, Ma | Nov 22, 2023 | 34 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• E•••• · Partnercontrolsince 01/1997 · owns 10% to 25%
- H••••••• J•••• K••••••• · Partnercontrolsince 01/2001 · owns 10% to 25%
- L•••••• K•••••••• H••••• · Chief Compliance Officer/Partnercontrolsince 01/2003 · owns 10% to 25%
- M••••••• C••••• L••••••• · Partnercontrolsince 01/2022 · owns 10% to 25%
- N••••••• R••••••• K•••••• · Partnercontrolsince 01/1997 · owns 10% to 25%
- P••••• P•••••••• D••••••••• · Partner Officer/Partnercontrolsince 01/2002 · owns 10% to 25%
Related persons
Schedule D 7.A
- P••••••• D• P••••n
- T••••• E• B••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 26, 2026L•••••• K•••••••• H••••• (CHIEF COMPLIANCE OFFICER/PARTNER) left Schedule A between the filings of 2023-03-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 638 to 642Mar 28, 2025 to Mar 30, 2026
- HNW clients · 83 to 85Mar 28, 2025 to Mar 30, 2026
- Individual clients · 25 to 21Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $2.0B to $2.1BMar 28, 2025 to Mar 30, 2026
- Employees · 21 to 20Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.1B to $2.2BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $2.1B to $2.2BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $24.6M to $21.8MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $250M to $249MMar 28, 2025 to Mar 30, 2026
- RAUM · $2.3B to $2.4BMar 28, 2025 to Mar 30, 2026
- Accounts · 641 to 638Mar 28, 2024 to Mar 28, 2025
- HNW clients · 73 to 83Mar 28, 2024 to Mar 28, 2025
- Individual clients · 29 to 25Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $1.8B to $2.0BMar 28, 2024 to Mar 28, 2025
- Employees · 25 to 21Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.9B to $2.1BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $1.9B to $2.1BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $24.2M to $24.6MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $255M to $250MMar 28, 2024 to Mar 28, 2025
- RAUM · $2.2B to $2.3BMar 28, 2024 to Mar 28, 2025
- Accounts · 654 to 641Mar 30, 2023 to Mar 28, 2024
- HNW clients · 74 to 73Mar 30, 2023 to Mar 28, 2024
- Individual clients · 24 to 29Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.7B to $1.8BMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.9BMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $1.7B to $1.9BMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $18.5M to $24.2MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $246M to $255MMar 30, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.2BMar 30, 2023 to Mar 28, 2024
- Accounts · 661 to 654Mar 31, 2022 to Mar 30, 2023
- HNW clients · 77 to 74Mar 31, 2022 to Mar 30, 2023
- Individual clients · 25 to 24Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $1.8B to $1.7BMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.9B to $1.7BMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $1.9B to $1.7BMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $22.5M to $18.5MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $317M to $246MMar 31, 2022 to Mar 30, 2023
- RAUM · $2.2B to $1.9BMar 31, 2022 to Mar 30, 2023
- Accounts · 659 to 661Mar 29, 2021 to Mar 31, 2022
Signals
4 dated events
- Irving Harold Pratt (Partner) no longer on Schedule A of N•••••• • P•••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Lonergan Craig Melillo (Partner) appeared on Schedule A of N•••••• • P•••• A••••••• L••Mar 30, 2023 · Control person joined · fact
- Richard James Nichols (Partner) no longer on Schedule A of N•••••• • P•••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Joseph Leonard Patenaude (Partner) no longer on Schedule A of N•••••• • P•••• A••••••• L•• (listed 2019-03-28, absent 2020-05-01)May 1, 2020 · Control person left · inference
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
- 617-523-6800reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N••••••-P••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-523-6800reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026