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
H••••• I••••• C•••••• L••
Latest filing Jun 15, 2026
First filing on the tape Mar 27, 2012 · 14 filings
SEC status approved since Jun 8, 2018
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$257M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$278M
derived; firm RAUM over IAPD count
Employees
2
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$278M as of Jun 15, 2026
Mar 27, 2012$51.8M then
HNW client RAUM$257M as of Jun 15, 2026
Mar 13, 2019$91.7M then
State-registered IARs (5.B.3)1 as of Jun 15, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Jun 15, 2026
Mar 13, 20192 then
Private funds: no history
RAUM +22% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.8MderivedHNW RAUM over HNW clients
- Average account
- $19.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M100%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 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 |
|---|---|---|---|---|
| P••• D•••• F••••• | Topsfield, Ma | Feb 25, 1999 | 27 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
- F•••••• P•••• D•••• · Owner/Member/Chief Compliance Officercontrolsince 01/1999 · 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
- Accounts · 15 to 14Feb 20, 2025 to Mar 6, 2026
- Individual clients · 1.0 to unsetFeb 20, 2025 to Mar 6, 2026
- Discretionary RAUM · $227M to $278MFeb 20, 2025 to Mar 6, 2026
- HNW RAUM · $211M to $257MFeb 20, 2025 to Mar 6, 2026
- Individual RAUM · 692337.0 to unsetFeb 20, 2025 to Mar 6, 2026
- RAUM · $227M to $278MFeb 20, 2025 to Mar 6, 2026
- Individual clients · unset to 1.0Mar 5, 2024 to Feb 20, 2025
- Financial planning clients · unset to Mar 5, 2024 to Feb 20, 2025
- Discretionary RAUM · $208M to $227MMar 5, 2024 to Feb 20, 2025
- HNW RAUM · $193M to $211MMar 5, 2024 to Feb 20, 2025
- Individual RAUM · $632,635 to $692,337Mar 5, 2024 to Feb 20, 2025
- RAUM · $208M to $227MMar 5, 2024 to Feb 20, 2025
- Accounts · 22 to 15Mar 15, 2023 to Mar 5, 2024
- HNW clients · 19 to 13Mar 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $166M to $208MMar 15, 2023 to Mar 5, 2024
- HNW RAUM · $154M to $193MMar 15, 2023 to Mar 5, 2024
- Individual RAUM · $435,427 to $632,635Mar 15, 2023 to Mar 5, 2024
- RAUM · $166M to $208MMar 15, 2023 to Mar 5, 2024
- Accounts · 19 to 22Mar 16, 2022 to Mar 15, 2023
- HNW clients · 16 to 19Mar 16, 2022 to Mar 15, 2023
- Discretionary RAUM · $235M to $166MMar 16, 2022 to Mar 15, 2023
- HNW RAUM · $218M to $154MMar 16, 2022 to Mar 15, 2023
- Individual RAUM · $617,632 to $435,427Mar 16, 2022 to Mar 15, 2023
- RAUM · $235M to $166MMar 16, 2022 to Mar 15, 2023
- HNW clients · 15 to 16Mar 15, 2021 to Mar 16, 2022
- Discretionary RAUM · $166M to $235MMar 15, 2021 to Mar 16, 2022
- HNW RAUM · $154M to $218MMar 15, 2021 to Mar 16, 2022
- Individual RAUM · $1.2M to $617,632Mar 15, 2021 to Mar 16, 2022
- RAUM · $166M to $235MMar 15, 2021 to Mar 16, 2022
- Discretionary RAUM · $140M to $166MJun 17, 2020 to Mar 15, 2021
- HNW RAUM · $129M to $154MJun 17, 2020 to Mar 15, 2021
- Individual RAUM · $821,000 to $1.2MJun 17, 2020 to Mar 15, 2021
- RAUM · $140M to $166MJun 17, 2020 to Mar 15, 2021
- Accounts · 18 to 19Mar 13, 2019 to Mar 12, 2020
- HNW clients · 12 to 15Mar 13, 2019 to Mar 12, 2020
- Discretionary RAUM · $102M to $140MMar 13, 2019 to Mar 12, 2020
- HNW RAUM · $91.7M to $129MMar 13, 2019 to Mar 12, 2020
- Individual RAUM · $1.5M to $821,000Mar 13, 2019 to Mar 12, 2020
- RAUM · $102M to $140MMar 13, 2019 to Mar 12, 2020
- HNW clients · 13 to 12May 8, 2018 to Mar 13, 2019
Signals
1 dated events
- H••••• I••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 8, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• I••••• C•••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 978-887-3174reportedpublic record, Form ADV, Jun 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
- $278Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026