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
M•• F••••••••
Legal name M•••••• S•••• A•• A••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Feb 28, 2012 · 45 filings
SEC status approved since Jun 13, 2011
RAUM
$1.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.4B as of Jun 18, 2026
Feb 28, 2012$206M then
HNW client RAUM$1.1B as of Jun 18, 2026
Mar 19, 2018$244M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Feb 28, 20120 then
Employees (5.A)19 as of Jun 18, 2026
Mar 4, 201311 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 8 to 0
Practice profile
derived from the filing of Jun 18, 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
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $429,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $185M, 254 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B77%
- Individuals$288M20%
- Pension and profit-sharing plans$36.9M2.6%
- Corporations and businesses$2.0M0.1%
- Individual clients
- 850reported
- HNW clients
- 474reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 3,271reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 254 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| M•••••• P••• C••••••••Certified Financial Planner | Braintree, Ma | Jun 14, 2011 | 22 y | 1 |
| P••• M• M•••••Certified Financial Planner | Braintree, Ma | Jun 14, 2011 | 37 y | 2 |
| R•••••• E••• S••••Certified Financial Planner | Braintree, Ma | Jun 14, 2011 | 39 y | 2 |
| D••••• E•••••••• D•• M••••• | Braintree, Ma | Jun 15, 2011 | 22 y | 1 |
| R••••• P••• R•• | Braintree, Ma | Jun 1, 2017 | 40 y | 1 |
| B•••••• R••Certified Financial Planner | Braintree, Ma | Sep 22, 2017 | 11 y | 0 |
| R••• A••• Z••••••••Certified Financial Planner | Braintree, Ma | Nov 15, 2017 | 21 y | 1 |
| A•••••• E•••••••• L•••• | Braintree, Ma | Mar 19, 2020 | 10 y | 1 |
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
- R•••••• E••• S•••• to S••••••••• A•••••• A•••••••• I•••Sep 30, 2004 · Other
- P••• M• M••••• to S••••••••• A•••••• A•••••••• I•••Sep 30, 2004 · Other
Joined, latest
- A•••••• E•••••••• L•••• from M••••• S••••••Mar 19, 2020 · Wirehouse to independent RIA
- R••• A••• Z•••••••• from S••••••••• A•••••• A•••••••• I•••Nov 15, 2017 · Other
- R••••• P••• R•• from C••••••••• F•••••••• N••••••Jun 1, 2017 · Other
- D••••• E•••••••• D•• M••••• from S••••••••• A•••••• A•••••••• I•••Jun 15, 2011 · Other
- M•••••• P••• C•••••••• from S••••••••• A•••••• A•••••••• I•••Jun 14, 2011 · Other
- R•••••• E••• S•••• from S••••••••• A•••••• A•••••••• I•••Jun 14, 2011 · Other
- P••• M• M••••• from S••••••••• A•••••• A•••••••• I•••Jun 14, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P•••• M• · Financial Advisor, Managing Directorcontrolsince 05/2011 · owns 25% to 50%
- S••••• R••••••• E••• · Financial Advisor, Managing Director And Ccocontrolsince 06/2011 · owns 25% to 50%
- C••••••••• M••••••• P••• · Financial Advisor, Managing Partnersince 08/2014 · owns 10% to 25%
- Z••••••••• R•••• A••• · Financial Advisor, Partnersince 07/2023 · 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 |
|---|---|---|---|---|---|
| Braintree, Ma · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sandwich, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Feb 12, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 0.0 (-100.0%) between the annual amendments of 2025-02-05 and 2026-02-12; the peer median change was 0.0% (999 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 3,165 to 3,271Nov 18, 2025 to Feb 12, 2026
- HNW clients · 405 to 474Nov 18, 2025 to Feb 12, 2026
- Individual clients · 904 to 850Nov 18, 2025 to Feb 12, 2026
- Pension plan clients · 9 to 14Nov 18, 2025 to Feb 12, 2026
- Assets in custody · $77.3M to $185MNov 18, 2025 to Feb 12, 2026
- State-registered IARs · 8 to 0Nov 18, 2025 to Feb 12, 2026
- Discretionary RAUM · $1.1B to $1.4BNov 18, 2025 to Feb 12, 2026
- HNW RAUM · $861M to $1.1BNov 18, 2025 to Feb 12, 2026
- Individual RAUM · $284M to $288MNov 18, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $22.3M to $35.8MNov 18, 2025 to Feb 12, 2026
- Pension RAUM · $23.3M to $36.9MNov 18, 2025 to Feb 12, 2026
- RAUM · $1.2B to $1.4BNov 18, 2025 to Feb 12, 2026
- Advisory activities · 5 to 6Feb 5, 2025 to May 27, 2025
- BD registered reps · 10 to 0Feb 5, 2025 to May 27, 2025
- Financial planning clients · 11-25 to 11-25Feb 5, 2025 to May 27, 2025
- Accounts · 3,041 to 3,165Jul 18, 2024 to Feb 5, 2025
- HNW clients · 357 to 405Jul 18, 2024 to Feb 5, 2025
- Individual clients · 922 to 904Jul 18, 2024 to Feb 5, 2025
- Pension plan clients · unset to 9.0Jul 18, 2024 to Feb 5, 2025
- Assets in custody · $5.4M to $77.3MJul 18, 2024 to Feb 5, 2025
- Discretionary RAUM · $1.0B to $1.1BJul 18, 2024 to Feb 5, 2025
- HNW RAUM · $718M to $861MJul 18, 2024 to Feb 5, 2025
- Individual RAUM · $279M to $284MJul 18, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $386,377 to $22.3MJul 18, 2024 to Feb 5, 2025
- Pension RAUM · $4.5M to $23.3MJul 18, 2024 to Feb 5, 2025
- RAUM · $1.0B to $1.2BJul 18, 2024 to Feb 5, 2025
- Accounts · 2,965 to 3,041Nov 29, 2023 to Feb 2, 2024
- HNW clients · 260 to 357Nov 29, 2023 to Feb 2, 2024
- Individual clients · 1,007 to 922Nov 29, 2023 to Feb 2, 2024
- Assets in custody · $8.1M to $5.4MNov 29, 2023 to Feb 2, 2024
- Financial planning clients · 1-10 to 11-25Nov 29, 2023 to Feb 2, 2024
- Other offices · 3 to 1Nov 29, 2023 to Feb 2, 2024
- Discretionary RAUM · $870M to $1.0BNov 29, 2023 to Feb 2, 2024
- HNW RAUM · $410M to $718MNov 29, 2023 to Feb 2, 2024
- Individual RAUM · $455M to $279MNov 29, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $433,817 to $386,377Nov 29, 2023 to Feb 2, 2024
- Pension RAUM · $3.7M to $4.5MNov 29, 2023 to Feb 2, 2024
- RAUM · $870M to $1.0BNov 29, 2023 to Feb 2, 2024
- Accounts · 2,899 to 2,965Sep 9, 2022 to Feb 21, 2023
- Corporate clients · 1.0 to unsetSep 9, 2022 to Feb 21, 2023
Signals
2 dated events
- M•• F•••••••• reported RAUM $676.0M, up 28% from $528.9M (2019-11-08 to 2020-03-11)Mar 11, 2020 · RAUM change · derived
- M•• F•••••••• reported RAUM $526.5M, up 56% from $337.7M (2017-06-02 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
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@msaplan.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-833-9555reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 508-879-1188reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-843-3500reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- MSAPLAN.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-843-3500reportedpublic record, Form ADV, Jun 18, 2026
- Contact form
- msaplan.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- msaplan.com/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
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026