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.
SEC-registered adviser
Cabot Wealth Management
Latest filing Jun 25, 2026
First filing on the tape Nov 21, 2011 · 56 filings
SEC status approved since Sep 16, 1983
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.2B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$1.2B as of Jun 25, 2026
Feb 28, 2012$477M then
HNW client RAUM$1.2B as of Jun 25, 2026
Jan 31, 2018$635M then
State-registered IARs (5.B.3)7 as of Jun 25, 2026
Jan 23, 20134 then
Employees (5.A)16 as of Jun 25, 2026
Jan 23, 201316 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 4 to 7
Practice profile
derived from the filing of Jun 25, 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
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $670,853derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B98%
- Charitable organizations$26.1M2.1%
- Individual clients
- 0reported
- HNW clients
- 636reported
- Pension plan clients
- 0reported
- Charitable clients
- 14reported
- Accounts
- 1,815reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Tomlinson Lutts | Salem, Ma | Apr 15, 1994 | 42 y | 0 |
| James Michael Gasparello | Salem, Ma | Jan 17, 1998 | 30 y | 0 |
| Gregory A StevensCertified Financial Planner | Salem, Ma | Aug 25, 2004 | 29 y | 0 |
| Thomas Christopher VautinCertified Financial Planner, Chartered Financial Consultant | Salem, Ma | Jan 27, 2011 | 20 y | 2 |
| Craig Edward GorylChartered Financial Analyst | Salem, Ma | Jul 22, 2013 | 15 y | 0 |
| Tyler Oliver Swaim | Salem, Ma | Aug 8, 2018 | 11 y | 0 |
| Alexander Francis Castrichini | Beverly, Ma | Mar 3, 2021 | 14 y | 3 |
| Kelly Jean Birchmore | Beverly, Ma | Sep 26, 2025 | 10 y | 0 |
| Nathan Stevens | Beverly, Ma | Mar 18, 2026 | 11 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
- Matthew Warren Heath to Cerity Partners LLCMar 15, 2021 · RIA to RIA
- Dennis Carl Wassung to Essex Private Wealth Management LLCOct 25, 2016 · Other
- Ashley Rochelle Mcharrie to Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 23, 2014 · Other
- Kathleen Kelly Mealey to Sensible Money, LLCJan 30, 2014 · Other
- Lester Satlow to Meridian Wealth Management, LLCFeb 17, 2011 · Other
- Michael Charles Kozak to East Coast Asset Management, LLCAug 19, 2010 · Other
- Thomas Christopher Vautin to New England Private Wealth Advisors, LLCMay 5, 2010 · Other
- Matthew Howard Mcphail to Sentinel Pension Advisors, LLC.Sep 16, 2004 · Other
- James R Femia to Sentinel Pension Advisors, LLC.Aug 2, 2004 · Other
Joined, latest
- Alexander Francis Castrichini from OnedigitalMar 3, 2021 · Other
- Thomas Christopher Vautin from New England Private Wealth Advisors, LLCJan 27, 2011 · Other
- Lester Satlow from Boston Advisors, Inc.Nov 3, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Sonia Ernst · Principal & Manager Of Operations And Tradingcontrolsince 01/2006 · owns 10% to 25%
- Michael James Gasparello · Principal & Senior Financial Counselorcontrolsince 01/2006 · owns 10% to 25%
- Tomlinson Robert Lutts · Presidentcontrolsince 09/1983 · owns 50% to 75%
- Edward Craig Goryl · Principal -- Chief Investment Offiicersince 09/2021 · owns 10% to 25%
- A Gregory Stevens · Principal, Ccosince 08/2010 · owns 10% to 25%
- Oliver Tyler Swaim · Advisorsince 08/2018 · owns 10% to 25%
- Christopher Thomas Vautin · Principalsince 07/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Salem, Ma | 6 | 0 | 0 | ||
| Beverly, Ma · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 25, 2026LUTTS, ROBERT, TOMLINSON (PRESIDENT) left Schedule A between the filings of 2022-03-22 and 2026-06-25peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 25, 2026ERNST, SONIA, LYNN (PRINCIPAL & MANAGER OF OPERATIONS AND TRADING) left Schedule A between the filings of 2022-03-22 and 2026-06-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,748 to 1,815Nov 25, 2025 to Mar 31, 2026
- Assets in custody · $155M to $161MNov 25, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 7Nov 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.2BNov 25, 2025 to Mar 31, 2026
- HNW RAUM · $1.0B to $1.2BNov 25, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.2BNov 25, 2025 to Mar 31, 2026
- HQ city · SALEM to BEVERLYMar 31, 2025 to Nov 25, 2025
- Accounts · 1,736 to 1,748Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 9 to 8Mar 28, 2024 to Mar 31, 2025
- HNW clients · 630 to 636Mar 28, 2024 to Mar 31, 2025
- Employees · 17 to 16Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.1BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $987M to $1.0BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.0B to $1.1BMar 28, 2024 to Mar 31, 2025
- Accounts · 1,742 to 1,736Mar 29, 2023 to Mar 28, 2024
- HNW clients · 641 to 630Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $153M to $155MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $863M to $1.0BMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $845M to $987MMar 29, 2023 to Mar 28, 2024
- RAUM · $863M to $1.0BMar 29, 2023 to Mar 28, 2024
- Accounts · 1,751 to 1,742Sep 14, 2022 to Mar 29, 2023
- Charity clients · 19 to 14Sep 14, 2022 to Mar 29, 2023
- HNW clients · 645 to 641Sep 14, 2022 to Mar 29, 2023
- Assets in custody · $183M to $153MSep 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.1B to $863MSep 14, 2022 to Mar 29, 2023
- HNW RAUM · $1.1B to $845MSep 14, 2022 to Mar 29, 2023
- RAUM · $1.1B to $863MSep 14, 2022 to Mar 29, 2023
- Accounts · 1,733 to 1,751Dec 8, 2021 to Mar 22, 2022
- HNW clients · 627 to 645Dec 8, 2021 to Mar 22, 2022
- Assets in custody · $115M to $183MDec 8, 2021 to Mar 22, 2022
- Discretionary RAUM · $933M to $1.1BDec 8, 2021 to Mar 22, 2022
- HNW RAUM · $906M to $1.1BDec 8, 2021 to Mar 22, 2022
- RAUM · $933M to $1.1BDec 8, 2021 to Mar 22, 2022
- Accounts · 1,661 to 1,733Mar 1, 2021 to Mar 30, 2021
- Advisory activities · 3 to 2Mar 1, 2021 to Mar 30, 2021
- Charity clients · 13 to 19Mar 1, 2021 to Mar 30, 2021
- HNW clients · 635 to 627Mar 1, 2021 to Mar 30, 2021
- Discretionary RAUM · $760M to $933MMar 1, 2021 to Mar 30, 2021
- HNW RAUM · $740M to $906MMar 1, 2021 to Mar 30, 2021
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 email
- info@ecabot.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-888-6468reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 978-745-9233reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CABOT-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ECABOT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 978-745-9233reportedpublic record, Form ADV, Jun 25, 2026
- Team page
- ecabot.com/meet-our-teamreportedpublished 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026