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
J••• F••••• • C•• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 27, 2012 · 26 filings
SEC status approved since May 6, 1960
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$1.5B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$209M
derived; firm RAUM over IAPD count
Employees
21
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.7B as of Mar 12, 2026
Mar 27, 2012$472M then
HNW client RAUM$1.3B as of Mar 12, 2026
Mar 28, 2018$521M then
State-registered IARs (5.B.3)5 as of Mar 12, 2026
Mar 27, 20120 then
Employees (5.A)21 as of Mar 12, 2026
Mar 22, 201317 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 12, 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
- 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
- $209MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $1.7B, 1,076 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)
- 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$1.3B78%
- Individuals$184M11%
- Charitable organizations$114M6.8%
- Corporations and businesses$52.8M3.2%
- Pension and profit-sharing plans$10.1M0.6%
- Individual clients
- 685reported
- HNW clients
- 356reported
- Pension plan clients
- 4reported
- Charitable clients
- 21reported
- Accounts
- 1,076reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 1,076 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••••• B••••••Chartered Financial Analyst | Boston, Ma | Jun 25, 2004 | 34 y | 0 |
| D•••• C••• W••••• | Boston, Ma | Mar 22, 2005 | 37 y | 0 |
| M•••••• L•••••• D••••••• | Boston, Ma | Mar 22, 2005 | 38 y | 0 |
| P••• E•••• | Boston, Ma | Oct 21, 2005 | 21 y | 0 |
| J•••••• L•• B•••••• | Boston, Ma | Mar 2, 2015 | 27 y | 2 |
| B••••••• S•••••• W••••••• | Boston, Ma | Oct 14, 2016 | 20 y | 0 |
| E•••••••• S•••••• C••• | Boston, Ma | Mar 12, 2020 | 18 y | 0 |
| B•••••• H•••••••• | Boston, Ma | Jun 21, 2022 | 12 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
- J•••••• L•• B•••••• from J••• H•••••• D••••••••• L••Mar 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••••• L•• · Partner / Chief Operating Officercontrolsince 01/2015 · owns 25% to 50%
- C•••• E••••••••• S•••••• · Partnercontrolsince 01/2020 · owns 25% to 50%
- E••••• P••• · Partnercontrolsince 01/2006 · owns 10% to 25%
- H••••••••• B•••••• · Partnercontrolsince 04/2022 · owns 25% to 50%
- K••••••••• P•••• M••••• · Chief Compliance Officersince 06/2007 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 8 | 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 Mar 12, 2026E••••• P••• (PARTNER) left Schedule A between the filings of 2022-04-07 and 2026-03-12peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,021 to 1,076Mar 26, 2025 to Mar 12, 2026
- Advisory employees · 6 to 5Mar 26, 2025 to Mar 12, 2026
- Charity clients · 18 to 21Mar 26, 2025 to Mar 12, 2026
- Corporate clients · 9 to 10Mar 26, 2025 to Mar 12, 2026
- HNW clients · 317 to 356Mar 26, 2025 to Mar 12, 2026
- Individual clients · 673 to 685Mar 26, 2025 to Mar 12, 2026
- Assets in custody · $1.4B to $1.7BMar 26, 2025 to Mar 12, 2026
- Employees · 20 to 21Mar 26, 2025 to Mar 12, 2026
- State-registered IARs · 6 to 5Mar 26, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.4B to $1.7BMar 26, 2025 to Mar 12, 2026
- HNW RAUM · $1.1B to $1.3BMar 26, 2025 to Mar 12, 2026
- Individual RAUM · $181M to $184MMar 26, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $1.7M to $1.9MMar 26, 2025 to Mar 12, 2026
- Pension RAUM · $8.6M to $10.1MMar 26, 2025 to Mar 12, 2026
- RAUM · $1.4B to $1.7BMar 26, 2025 to Mar 12, 2026
- Accounts · 963 to 1,021Mar 20, 2024 to Mar 26, 2025
- Charity clients · 16 to 18Mar 20, 2024 to Mar 26, 2025
- Corporate clients · 8 to 9Mar 20, 2024 to Mar 26, 2025
- HNW clients · 279 to 317Mar 20, 2024 to Mar 26, 2025
- Individual clients · 656 to 673Mar 20, 2024 to Mar 26, 2025
- Assets in custody · $1.2B to $1.4BMar 20, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.2B to $1.4BMar 20, 2024 to Mar 26, 2025
- HNW RAUM · $900M to $1.1BMar 20, 2024 to Mar 26, 2025
- Individual RAUM · $173M to $181MMar 20, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.5M to $1.7MMar 20, 2024 to Mar 26, 2025
- Pension RAUM · $2.3M to $8.6MMar 20, 2024 to Mar 26, 2025
- RAUM · $1.2B to $1.4BMar 20, 2024 to Mar 26, 2025
- Accounts · 932 to 963Mar 16, 2023 to Mar 20, 2024
- Charity clients · 15 to 16Mar 16, 2023 to Mar 20, 2024
- Corporate clients · 9 to 8Mar 16, 2023 to Mar 20, 2024
- HNW clients · 242 to 279Mar 16, 2023 to Mar 20, 2024
- Individual clients · 661 to 656Mar 16, 2023 to Mar 20, 2024
- Pension plan clients · 5 to 4Mar 16, 2023 to Mar 20, 2024
- Assets in custody · $1.0B to $1.2BMar 16, 2023 to Mar 20, 2024
- Employees · 19 to 20Mar 16, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.0B to $1.2BMar 16, 2023 to Mar 20, 2024
- HNW RAUM · $739M to $900MMar 16, 2023 to Mar 20, 2024
- Individual RAUM · $170M to $173MMar 16, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $1.4M to $1.5MMar 16, 2023 to Mar 20, 2024
Signals
4 dated events
- B•••••• H•••••••• (Partner) appeared on Schedule A of J••• F••••• • C•• L••Apr 7, 2022 · Control person joined · fact
- Carr David Warner (Partner) no longer on Schedule A of J••• F••••• • C•• L•• (listed 2020-07-06, absent 2021-03-19)Mar 19, 2021 · Control person left · inference
- J••• F••••• • C•• L•• reported RAUM $990.4M, up 40% from $709.7M (2019-03-19 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Simonds Elizabeth Colt (Partner) appeared on Schedule A of J••• F••••• • C•• L••Mar 30, 2020 · 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
- Principal office phone
- 617-423-5705reportedpublic record, Form ADV, Mar 12, 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
- $209Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026