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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B••••• R••••••• A•• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Jul 31, 1991
RAUM
$676M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$674M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$676M as of Mar 25, 2026
Mar 30, 2012$200M then
HNW client RAUM$655M as of Mar 25, 2026
Mar 28, 2018$318M then
State-registered IARs (5.B.3)6 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 25, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +7.8% over the last fiscal year+10% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 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
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$655M97%
- Individuals$18.6M2.7%
- Corporations and businesses$1.2M0.2%
- Charitable organizations$1.0M0.2%
- Pension and profit-sharing plans$388,1380.1%
- Individual clients
- 36reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 501reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• E••••• B•••• | Manchester, Ma | Jan 19, 2000 | 34 y | 0 |
| B••••••• J•••• M••••••Certified Financial Planner | Manchester, Ma | Nov 15, 2006 | 28 y | 0 |
| D••••• F•••••••• T••••••Chartered Financial Analyst | Manchester, Ma | Jun 24, 2011 | 11 y | 0 |
| R••••• S••••• M••••••• | Manchester, Ma | Mar 6, 2013 | 24 y | 3 |
| L••••• W•••••• K•••••Chartered Financial Analyst | Manchester, Ma | Dec 8, 2022 | 13 y | 0 |
| M••••• R••• F••••Certified Financial Planner | Manchester, Ma | Feb 11, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• E••••• M••••• to M•• C•••••• A•••••••Nov 26, 2010 · Other
- C••••••••• M•••••• B••• to E••• C•••• A•••• M••••••••• L••Apr 30, 2008 · Other
Joined, latest
- M••••• R••• F•••• from U•• F•••••••• S••••••• I•••Feb 11, 2026 · Wirehouse to independent RIA
- R••••• S••••• M••••••• from W•••• F•••• A•••••••Mar 6, 2013 · Other
- M•••••• E••••• M••••• from L••••••• A•••• M••••••••• L••Dec 19, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• R••••••• J•••• · President/Ceocontrolsince 06/1991 · owns 75% or more
- M•••••••• R•••••• S••••• · Chief Compliance Officer/Senior Client Advisorsince 09/2014 · owns less than 5%
- M••••••• B•••••••• J•••• · Managing Directorsince 12/2014 · owns 10% to 25%
- T••••••• D•••••• F•••••••• · Chief Investment Officersince 12/2014 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Manchester, Ma · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Jan 23, 2025 to Mar 25, 2026
- HNW clients · 84 to 88Jan 23, 2025 to Mar 25, 2026
- Individual clients · 41 to 36Jan 23, 2025 to Mar 25, 2026
- Assets in custody · $261M to $289MJan 23, 2025 to Mar 25, 2026
- Employees · 7 to 8Jan 23, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 6Jan 23, 2025 to Mar 25, 2026
- Discretionary RAUM · $627M to $676MJan 23, 2025 to Mar 25, 2026
- HNW RAUM · $605M to $655MJan 23, 2025 to Mar 25, 2026
- Individual RAUM · $19.6M to $18.6MJan 23, 2025 to Mar 25, 2026
- Pension RAUM · $465,536 to $388,138Jan 23, 2025 to Mar 25, 2026
- RAUM · $627M to $676MJan 23, 2025 to Mar 25, 2026
- Accounts · 478 to 501Mar 28, 2024 to Jan 23, 2025
- Advisory employees · 6 to 5Mar 28, 2024 to Jan 23, 2025
- HNW clients · 82 to 84Mar 28, 2024 to Jan 23, 2025
- Assets in custody · $237M to $261MMar 28, 2024 to Jan 23, 2025
- Employees · 8 to 7Mar 28, 2024 to Jan 23, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Jan 23, 2025
- State-registered IARs · 6 to 5Mar 28, 2024 to Jan 23, 2025
- Discretionary RAUM · $582M to $627MMar 28, 2024 to Jan 23, 2025
- HNW RAUM · $557M to $605MMar 28, 2024 to Jan 23, 2025
- Individual RAUM · $20.5M to $19.6MMar 28, 2024 to Jan 23, 2025
- Pension RAUM · $2.2M to $465,536Mar 28, 2024 to Jan 23, 2025
- RAUM · $582M to $627MMar 28, 2024 to Jan 23, 2025
- Accounts · 441 to 478Mar 29, 2023 to Mar 28, 2024
- HNW clients · 77 to 82Mar 29, 2023 to Mar 28, 2024
- Individual clients · 40 to 41Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $110M to $237MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $503M to $582MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $480M to $557MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $18.4M to $20.5MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.9M to $2.2MMar 29, 2023 to Mar 28, 2024
- RAUM · $503M to $582MMar 29, 2023 to Mar 28, 2024
- Accounts · 421 to 441Mar 31, 2022 to Mar 29, 2023
- HNW clients · 74 to 77Mar 31, 2022 to Mar 29, 2023
- Individual clients · 37 to 40Mar 31, 2022 to Mar 29, 2023
- Assets in custody · $98.3M to $110MMar 31, 2022 to Mar 29, 2023
- State-registered IARs · 5 to 6Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $548M to $503MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $525M to $480MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $18.9M to $18.4MMar 31, 2022 to Mar 29, 2023
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (978) 526-9700reportedpublic record, Form ADV, Mar 25, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026